ETICO WEALTH MANAGEMENT LLC
Adviser information for ETICO WEALTH MANAGEMENT LLC last updated from Form ADV on October 25th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 2 | $225,507 |
| Total | 2 | $225,507 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $225,507 |
| HNW Individuals | 0 | $0 |
| 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 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-70445 |
|---|---|
| SEC ERA File Number | 801-70445 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 151046 |
| Legal Entity Identifier | None |
Principal Office
19 RAILROAD PLACESUITE 202
SARATOGA SPRINGS
NY
United States
Monday - Friday, 9AM TO 5PM
Tel: 800-433-0422 X.114, Fax: 518-348-0107
Chief Compliance Officer
KYLE WEBBER
19 RAILROAD PLACE
SARATOGA SPRINGS
NY
United States
Tel:
518-348-0060 X. 444
Fax:
518-348-0107
K******@*****************M
(Full email address available in API data)
Regulatory Contact
JOSEPH LEO
CEO
250 GENESEE STREE
SUITE 505
UTICA
NY
United States
Tel:
518-348-0600 XT. 405
Fax:
518-348-0107
J***@*****************M
(Full email address available in API data)
Industry Affiliates
| ETICO PARTNERS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| QUARTZ PARTNERS INVESTMENT MANAGEMENT | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LEO, JOSEPH, ALBERT | Individual | – | CHIEF EXECUTIVE OFFICER | 01/2022 | < 5% |
| ETICO FINANCIAL, LLC | Domestic Entity | – | OWNER | 01/2018 | > 75% |
| WEISMAN, SCOTT, ALAN | Individual | PTERODACTYL HOLDINGS | EQUITY HOLDER OF PTERODACTYL HOLDINGS | 04/2010 | > 75% |
| PTERODACTYL HOLDINGS | Domestic Entity | ETICO FINANCIAL, LLC | EQUITY HOLDER OF QUAESTUS HOLDINGS, LLC | 06/2017 | 25-50% |
| LEO, JOSEPH, ALBERT | Individual | ETICO FINANCIAL, LLC | EQUITY HOLDER OF QUAESTUS HOLDINGS, LLC | 01/2018 | 25-50% |
| WEBBER, KYLE, PATRICK | Individual | – | CCO | 07/2022 | < 5% |