PACTOLUS
PACTOLUS PRIVATE WEALTH MANAGEMENT LLC Legal Name
Adviser information for PACTOLUS last updated from Form ADV on March 11th, 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 | 13 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 6 |
| 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 | 272 | $100.3M |
| Non-Discretionary | 103 | $85.5M |
| Total | 375 | $185.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 272 | $99.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 5 | $86.5M |
| 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 | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissionsPerformance-based fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 99.4M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| PACTOLUS WRAP FEE PROGRAM | PACTOLUS PRIVATE WEALTH MANAGEMENT, LLC |
Identifiers
| SEC RIA File Number | 801-71915 |
|---|---|
| SEC ERA File Number | 801-71915 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 155195 |
| Legal Entity Identifier | None |
Principal Office
8614 WESTWOOD CENTER DRIVESUITE 620
VIENNA
VA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 571-297-6364, Fax: None
Chief Compliance Officer
GERY SADZEWICZ
5205 BROOKSHIRE ESTATES DRIVE
PLAINFIELD
IL
United States
Tel:
815-782-1250
G***@*************************M
(Full email address available in API data)
Regulatory Contact
NARGES ZAMANI
CHIEF RISK OFFICER
8614 WESTWOOD CENTER DRIVE
SUITE 620
VIENNA
VA
United States
Tel:
571-297-6364
N******@***********M
(Full email address available in API data)
Industry Affiliates
| PACTOLUS CAPITAL PARTNERS | Broker-dealer, municipal securities dealer, or gov securities broker or dealerSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| PACTOLUS / G4 CAPITAL PARTNERS FUND III SERIES OF THE PACTOLUS SERIES FUND, LLC | REAL ESTATE FINANCE FUND | $22.6M | $0.3M | 49 |
| PACTOLUS KILROY LLC | Private Equity Fund | $1.0M | $0.1M | 6 |
| PACTOLUS/CRANEMERE SERIES OF THE PACTOLUS SERIES FUND LLC | Private Equity Fund | $44.3M | $0.3M | 22 |
| PACTOLUS/SWAN LEGEND FUND 3 SERIES OF THE PACTOLUS SERIES FUND, LLC | Private Equity Fund | $13.0M | $0.1M | 13 |
| PACTOLUS/U.S. FARMING REALTY SERIES OF THE PACTOLUS SERIES FUND LLC | ACQUISITION AND MANAGEMENT OF FARM LAND | $5.6M | $0.3M | 19 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SADZEWICZ, GERY, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2010 | < 5% |
| HARTER, ALAN, MITCHELL | Individual | – | CHIEF EXECUTIVE OFFICER | 01/2011 | < 5% |
| PACTOLUS HOLDINGS LLC | Domestic Entity | – | SOLE MEMBER | 05/2011 | > 75% |
| HARTER, ALAN, MITCHELL | Individual | A CUBE, LLC | MEMBER | 12/2015 | > 75% |
| A CUBE, LLC | Domestic Entity | PACTOLUS HOLDINGS LLC | MEMBER | 12/2015 | 25-50% |