WOODWARD FINANCIAL ADVISORS, INC.
Adviser information for WOODWARD FINANCIAL ADVISORS, INC. last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Other (specify) |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | North Carolina, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 885 | $511.2M |
| Non-Discretionary | 0 | $0 |
| Total | 885 | $511.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 36 | $46.8M |
| HNW Individuals | 149 | $464.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-70279 |
|---|---|
| SEC ERA File Number | 801-70279 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 150641 |
| Legal Entity Identifier | None |
Principal Office
1504 E. FRANKLIN ST.SUITE 105
CHAPEL HILL
NC
United States
Monday - Friday, 9:00 AM - 5:00PM
Tel: 919-929-2495, Fax: 919-929-2496
Chief Compliance Officer
JAMES MILLER
1504 E. FRANKLIN ST.
SUITE 105
CHAPEL HILL
NC
United States
Tel:
919-929-2495
Fax:
919-929-2496
J******@*******************M
(Full email address available in API data)
Regulatory Contact
JAMES MILLER
PRESIDENT
1504 E. FRANKLIN ST.
SUITE 105
CHAPEL HILL
NC
United States
Tel:
919-929-2495
Fax:
919-929-2496
J******@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MILLER, JAMES, RONALD | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 05/2009 | > 75% |