NAPLES GLOBAL ADVISORS
NAPLES GLOBAL ADVISORS LLC Legal Name
Adviser information for NAPLES GLOBAL ADVISORS last updated from Form ADV on March 29th, 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 | Florida, United States |
Employees
| Total Number of Employees | 18 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 14 |
| 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 | 1,230 | $1.4B |
| Non-Discretionary | 324 | $43.2M |
| Total | 1,554 | $1.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 23 | $8.3M |
| HNW Individuals | 235 | $1.4B |
| 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 | $4.1M |
| Charitable organizations | 10 | $16.5M |
| 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 | $7.7M |
| 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 | 801-72600 |
|---|---|
| SEC ERA File Number | 801-72600 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 158544 |
| Legal Entity Identifier | None |
Principal Office
720 5TH AVENUE SOUTHSTE. 200
NAPLES
FL
United States
Monday - Friday, 8-5
Tel: 239-776-7900, Fax: 239-776-7909
Chief Compliance Officer
KERRY GEROY
720 FIFTH AVENUE SOUTH
STE. 200
NAPLES
FL
United States
Tel:
239-776-7905
Fax:
239-776-7909
K******@***********************M
(Full email address available in API data)
Regulatory Contact
JOHN SUDDETH
CIO
720 5TH AVENUE SOUTH
STE. 200
NAPLES
FL
United States
Tel:
239-776-7900
Fax:
239-776-7909
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 |
|---|---|---|---|---|---|
| SUDDETH, JOHN, MIXON | Individual | – | CHIEF INVESTMENT OFFICER, MANAGING MEMBER | 06/2011 | 25-50% |
| MORRIS, MICHAEL, H. | Individual | – | CEO/MANAGING MEMBER | 06/2011 | 25-50% |
| GEROY, KERRY, MCGUIRE | Individual | – | CHIEF COMPLIANCE OFFICER, FIRM PRINCIPAL | 12/2011 | 10-25% |
| LIBERTY TRUST | Domestic Entity | – | PASSIVE OWNER | 04/2017 | 5-10% |
| DEBSKI, GRZEGORZ, STEFAN | Individual | – | FIRM PRINCIPAL | 01/2020 | 10-25% |
| CODREY, ISAAC, EARL WILLIAM | Individual | – | FIRM PRINCIPAL | 01/2020 | 10-25% |