NOVEM GROUP

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	New York, United States

Employees

Total Number of Employees	50
Investment Advisory/Research	50
Registered Broker-Dealer Representatives	46
Registered State Investment Advisers	29
Licensed Agents of an Insurance Company	29
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	4,243	$915.8M
Non-Discretionary	138	$254.8M
Total	4,381	$1.2B

Clients

Type	Number	RAUM
Individuals	2,756	$569.9M
HNW Individuals	147	$318.0M
Banking or thrift institutions	<5	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	127	$280.3M
Charitable organizations	<5	$2.3M
State or municipal gov entities	<5	$144,647
Other investment advisers	<5	$0
Insurance companies	<5	$0
Sovereign wealth funds and foreign official institutions	<5	$0
Corporations or other businesses	<5	$0
Other	0	$0

Type	Number
No. of Non-RAUM Clients	17
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	1000

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops
Compensation	% of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	298.0M
Portfolio Manager	90.6M
Both for Same	2.4M

Portfolio Manager to Program	Sponsor
NOVEM GROUP WRAP FEE PROGRAM	NOVEM GROUP

Identifiers

SEC RIA File Number	801-72741
SEC ERA File Number	801-72741
SEC CIK Numbers	None
SEC CRD Numbers	158964
Legal Entity Identifier	None

Principal Office

350 LINDEN OAKS
SUITE 140
ROCHESTER
NY
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic