POLLOCK INVESTMENT ADVISORS, LLC
Adviser information for POLLOCK INVESTMENT ADVISORS, LLC last updated from Form ADV on March 18th, 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 | Michigan, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 682 | $285.2M |
| Non-Discretionary | 4 | $5.3M |
| Total | 686 | $290.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 124 | $43.1M |
| HNW Individuals | 100 | $240.3M |
| 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 | <5 | $3.9M |
| Charitable organizations | <5 | $1.4M |
| 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 | $1.7M |
| 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 businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-71361 |
|---|---|
| SEC ERA File Number | 801-71361 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 153350 |
| Legal Entity Identifier | None |
Principal Office
412 EAST HURONANN ARBOR
MI
United States
Monday - Friday, 9AM-5PM
Tel: 734-929-2520, Fax: 734-929-2528
Chief Compliance Officer
JAMES K. POLLOCK, CFA
MANAGING PARTNER
412 E. HURON
ANN ARBOR
MI
United States
Tel:
(734) 929-2520
Fax:
(734) 929-2528
J**@****************************M
(Full email address available in API data)
Regulatory Contact
JAMES K. POLLOCK, CFA
MANAGING PARTNER
412 EAST. HURON
ANN ARBOR
MI
United States
Tel:
734-929-2520
Fax:
734-929-2528
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 |
|---|---|---|---|---|---|
| POLLOCK, JAMES, KERR | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2010 | 50-75% |
| POLLOCK, ROBERT, NEWTON | Individual | – | MANAGING MEMBER | 06/2010 | 50-75% |