Hedge Fund Database

ULRICH INVESTMENT CONSULTANTS

ULRICH CONSULTING AND INVESTMENT GROUP, LLC Legal Name

Adviser information for ULRICH INVESTMENT CONSULTANTS 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 New Mexico, United States

Employees

Total Number of Employees 26
Investment Advisory/Research 12
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 13
Licensed Agents of an Insurance Company 2
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 886 $1.9B
Non-Discretionary 113 $1.4B
Total 999 $3.3B

Clients

Type Number RAUM
Individuals 107 $62.0M
HNW Individuals 97 $732.3M
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 17 $138.3M
Charitable organizations 18 $140.6M
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 6 $2.6M
Other 20 $2.2B
Type Number
No. of Non-RAUM Clients 2
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 businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-72880
SEC ERA File Number 801-72880
SEC CIK Numbers 1878849
SEC CRD Numbers 159499
Legal Entity Identifier None

Principal Office

1805 RIO GRANDE BOULEVARD NW
SUITE 1
ALBUQUERQUE
NM
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: 505-224-9100, Fax: 505-224-9107

Websites

linkedin.com/company/ulrich-consulting-group/ www.facebook.com/ulrichinvestmentconsultants www.youtube.com/channel/uc-bqesjvwvijkpq7rzvm30q www.ulrichcg.com www.linkedin.com/showcase/96874784/admin/feed/posts/

Chief Compliance Officer

REBECCA A. CROWDER
CHIEF COMPLIANCE OFFICER
711 BROADWAY STE 355
SAN ANTONIO
TX
United States
Tel: 505-224-9100
(Full email address available in API data)

Regulatory Contact

JOHN P. ULRICH
PRESIDENT
711 BROADWAY STE 355
SAN ANTONIO
TX
United States
Tel: 505-224-9100
(Full email address available in API data)

Industry Affiliates

ESTATE STRATEGIES INC. Insurance company or agency

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
ULRICH, JOHN, PAUL Individual – MANAGER / PRESIDENT 01/2021 < 5%
RITZ-SCHALK, MOLLY, PAULI Individual – MEMBER 12/2020 5-10%
ULRICH CONSULTING GROUP, LLC Domestic Entity – MEMBER 12/2020 > 75%
ULRICH, JOHN, PAUL Individual ULRICH CONSULTING GROUP, LLC MEMBER / MANAGER 04/2007 > 75%
CROWDER, REBECCA, ANNE Individual – CHIEF COMPLIANCE OFFICER 01/2021 < 5%
SOLCHER, WHITNEY, E Individual – MEMBER 10/2021 5-10%
Gerald, Evan, Whittier Individual – MEMBER 12/2022 5-10%
SIZEMORE, JAMES, MICHAEL Individual – MEMBER 04/2022 < 5%
Ulrich, Matthew, John Individual – MEMBER 12/2022 5-10%

No. Employees, Historic

3015020202021202220232024202513 on 3/25/202013 on 5/27/202013 on 6/19/202013 on 11/9/202010 on 1/27/202110 on 3/26/202110 on 11/23/202111 on 3/31/202211 on 4/28/202211 on 6/1/202220 on 3/29/202320 on 9/27/202326 on 3/29/2024

RAUM, Historic

4B2B02020202120222023202420251589006885 on 3/25/20201589006885 on 5/27/20201589006885 on 6/19/20201589006885 on 11/9/20201589006885 on 1/27/20211678461881 on 3/26/20211678461881 on 11/23/20211982200342 on 3/31/20221982200342 on 4/28/20221982200342 on 6/1/20222748530621 on 3/29/20232748530621 on 9/27/20233279256426 on 3/29/2024

No. Clients, Historic

3001500202020212022202320242025170 on 3/25/2020170 on 5/27/2020170 on 6/19/2020170 on 11/9/2020170 on 1/27/2021266 on 3/26/2021266 on 11/23/2021212 on 3/31/2022212 on 4/28/2022212 on 6/1/2022231 on 3/29/2023231 on 9/27/2023265 on 3/29/2024

Holdings

From latest 13F, filed August 4th, 2023 for period ending June 30th, 2023
Name Class Value $USD # Shares Private Fund
AMAZON COM INC COM 212K 2K –
AMPLIFY ETF TR CWP ENHANCED DIV 1M 40K –
APPLE INC COM 413K 2K –
ARES CAPITAL CORP COM 263K 14K –
ENTERPRISE PRODS PARTNERS L COM 270K 10K –
EXXON MOBIL CORP COM 349K 3K –
FS KKR CAP CORP COM 815K 43K –
HCA HEALTHCARE INC COM 1M 5K –
INTERNATIONAL FLAVORS&FRAGRA COM 340K 4K –
INVESCO EXCH TRADED FD TR II RUSEL 1000 EQL 1M 27K –
ISHARES TR ESG AW MSCI EAFE 886K 12K –
ISHARES TR IBONDS 23 TRM TS 251K 10K –
ISHARES TR ISHARES BIOTECH 258K 2K –
ISHARES TR MSCI EAFE ETF 2M 27K –
ISHARES TR MSCI KLD400 SOC 2M 25K –
ISHARES TR S&P 500 GRWT ETF 924K 13K –
KINDER MORGAN INC DEL COM 203K 12K –
MICROSOFT CORP COM 795K 2K –
SELECT SECTOR SPDR TR ENERGY 442K 5K –
SPDR S&P 500 ETF TR TR UNIT 3M 6K –
STARBUCKS CORP COM 214K 2K –
VANGUARD INDEX FDS S&P 500 ETF SHS 11M 27K –
VANGUARD INDEX FDS VALUE ETF 1M 7K –
VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 12M 172K –