HARTSHORNE GROUP, LLC
Adviser information for HARTSHORNE GROUP, LLC last updated from Form ADV on February 28th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| 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 | 579 | $144.9M |
| Total | 579 | $144.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 119 | $37.4M |
| HNW Individuals | 43 | $101.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $153,969 |
| Pension and profit sharing plans | <5 | $2.2M |
| 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 | <5 | $3.3M |
| 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 planningSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-70552 |
|---|---|
| SEC ERA File Number | 801-70552 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 150897 |
| Legal Entity Identifier | None |
Principal Office
ONE RIVER CENTRE - 331 NEWMAN SPRINGS ROADSUITE 105
RED BANK
NJ
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 732-945-3830, Fax: None
Chief Compliance Officer
DINA SCHINDLER
ONE RIVER CENTRE - 331 NEWMAN SPRINGS ROAD
SUITE 143
RED BANK
NJ
United States
Tel:
732-842-4920
C*********@*****************M
(Full email address available in API data)
Industry Affiliates
| MILLINGTON SECURITIES, LLC | Other investment adviser, including financial planners |
| WBI INVESTMENTS, LLC | Other investment adviser, including financial plannersInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SCHREIBER, DONALD, ROBERT | Individual | – | CHIEF EXECUTIVE OFFICER, TREASURER | 04/2008 | < 5% |
| CONFESSORE, ROBERT | Individual | – | PRESIDENT | 06/2009 | < 5% |
| WBI HOLDCO, INC. | Domestic Entity | WBI TECH HOLDINGS, LLC | SOLE OWNER | 06/2023 | > 75% |
| SCHREIBER, ANN, HOLLY | Individual | – | SECRETARY | 01/2012 | < 5% |
| SCHINDLER, DINA, NICOLE | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2023 | < 5% |
| WBI TECH HOLDINGS, LLC | Domestic Entity | – | MEMBER | 06/2023 | > 75% |
| SCHREIBER, DONALD, ROBERT | Individual | WBI HOLDCO, INC. | SOLE OWNER | 06/2023 | > 75% |