THE SHOBE FINANCIAL GROUP
SHOBE & ASSOCIATES, INC Legal Name
Adviser information for THE SHOBE FINANCIAL GROUP last updated from Form ADV on April 10th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Louisiana, United States |
Employees
| Total Number of Employees | 21 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 9 |
| Registered State Investment Advisers | 9 |
| Licensed Agents of an Insurance Company | 11 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 254 | $316.0M |
| Non-Discretionary | 45 | $80.6M |
| Total | 299 | $396.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 179 | $85.5M |
| HNW Individuals | 105 | $210.4M |
| 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 | <5 | $300,000 |
| State or municipal gov entities | <5 | $34.6M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $36.9M |
| Other | 10 | $28.9M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| 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 businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)BUSINESS CONSULTING |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesTHIRD PARTY ADVISORY FEES |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| FREEDOM | RAYMOND JAMES & ASSOCIATES, INC. |
| RAYMOND JAMES CONSULTING SERVICES | RAYMOND JAMES & ASSOCIATES, INC. |
Identifiers
| SEC RIA File Number | 801-70323 |
|---|---|
| SEC ERA File Number | 801-70323 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 114975 |
| Legal Entity Identifier | None |
Principal Office
8280 YMCA PLAZA DRIVEBUILDING 4
BATON ROUGE
LA
United States
Monday - Friday, 8:30 AM -5:30 PM
Tel: 225-763-7010, Fax: 225-763-7040
Chief Compliance Officer
JASON P. WINDHAM
PRESIDENT
8280 YMCA PLAZA DRIVE
BUILDING #4
BATON ROUGE
LA
United States
Tel:
225-763-7010
Fax:
225-763-7040
J*******@********M
(Full email address available in API data)
Regulatory Contact
CONNIE P. LIEUX
COMPLIANCE AND SPECIAL PROJECTS MANAGER
8280 YMCA PLAZA DRIVE
BUILDING #4
BATON ROUGE
LA
United States
Tel:
225-763-7010
Fax:
225-763-7040
C*****@********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 |
|---|---|---|---|---|---|
| SHOBE, EDWARD, LOUIS | Individual | – | CHAIRMAN OF THE BOARD | 06/1983 | > 75% |
| WINDHAM, SUSAN, SHOBE | Individual | – | SR. VICE PRESIDENT/BOARD MEMBER | 02/1998 | 10-25% |
| WINDHAM, JASON, PETER | Individual | – | PRESIDENT | 12/2006 | 10-25% |
| WINDHAM, JASON, PETER | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2016 | 10-25% |
| KLIEBERT, CRAIG, ANDREW | Individual | – | SR. VICE PRESIDENT | 11/2018 | < 5% |
| LUCKETT, COREY, PAUL | Individual | – | VICE PRESIDENT | 11/2018 | < 5% |
| GANDHI, ZAINAB, MURTAZA | Individual | – | VICE PRESIDENT | 11/2018 | < 5% |