Hedge Fund Database

POWELL INVESTMENT ADVISORS, LLC

Adviser information for POWELL INVESTMENT ADVISORS, LLC last updated from Form ADV on February 20th, 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 2
Investment Advisory/Research 2
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 2
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 2

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 311 $517.9M
Non-Discretionary 0 $0
Total 311 $517.9M

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 55 $462.5M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 2 $53.0M
Pension and profit sharing plans 0 $0
Charitable organizations <5 $2.5M
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 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 1
No. of Non-U.S. Clients 1

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesCONSULTING
Compensation % of AUMFixed feesPerformance-based fees

Identifiers

SEC RIA File Number 801-74420
SEC ERA File Number 801-74420
SEC CIK Numbers 1802195
SEC CRD Numbers 160333
Legal Entity Identifier None

Principal Office

3444 MAIN HIGHWAY
SECOND FLOOR
MIAMI
FL
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 786-470-3480, Fax: 305-858-1636

Websites

www.powellinvestmentadvisors.com

Chief Compliance Officer

JESSE A. WACHS
CHIEF INVESTMENT OFFICER
3444 MAIN HIGHWAY
SECOND FLOOR
MIAMI
FL
United States
Tel: 786-470-3480
Fax: 305-858-1636
(Full email address available in API data)

Regulatory Contact

TODD J. GROSS
PORTFOLIO MANAGER & CFO
3444 MAIN HIGHWAY
SECOND FLOOR
MIAMI
FL
United States
Tel: 786-470-3480
Fax: 305-858-1636
(Full email address available in API data)

Industry Affiliates

CEF TOTAL RETURN GP, LLC Sponsor, GP, manager of pooled investment vehicles
POWELL INVESTMENT PARTNERS SERIES I LLC Sponsor, GP, manager of pooled investment vehicles
POWELL INVESTMENT PARTNERS SERIES II LLC Sponsor, GP, manager of pooled investment vehicles
POWELL INVESTMENT PARTNERS SERIES III LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
CEF TOTAL RETURN OPPORTUNITY FUND, LP Hedge Fund $30.0M $0.5M 36

Control Persons

Name Type Entity Title Since Ownership
POWELL, EARL, WAYNE Individual – MANAGING MEMBER 10/2008 25-50%
WACHS, JESSE, AARON Individual – CHIEF INVESTMENT OFFICER & CHIEF COMPLIANCE OFFICER 10/2008 25-50%
GROSS, TODD, JORDAN Individual – PORTFOLIO MANAGER & CFO 05/2014 25-50%

No. Employees, Historic

105020192020202120222023202420252 on 9/24/20192 on 1/17/20202 on 2/10/20202 on 2/18/20202 on 5/21/20202 on 6/3/20202 on 1/26/20212 on 2/10/20222 on 4/18/20222 on 2/14/20232 on 4/19/20232 on 8/16/20232 on 2/20/2024

RAUM, Historic

600M300M02019202020212022202320242025304652175 on 9/24/2019325842845 on 1/17/2020325842845 on 2/10/2020325842845 on 2/18/2020325842845 on 5/21/2020325842845 on 6/3/2020401153829 on 1/26/2021456113317 on 2/10/2022456113317 on 4/18/2022475636211 on 2/14/2023475636211 on 4/19/2023475636211 on 8/16/2023517946712 on 2/20/2024

No. Clients, Historic

60300201920202021202220232024202536 on 9/24/201943 on 1/17/202043 on 2/10/202043 on 2/18/202043 on 5/21/202043 on 6/3/202047 on 1/26/202150 on 2/10/202250 on 4/18/202249 on 2/14/202349 on 4/19/202349 on 8/16/202357 on 2/20/2024

Holdings

From latest 13F, filed July 30th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AT&T INC COM 323K 17K –
ABRDN PRECIOUS METALS BASKET PHYSCL PRECS MET 501K 5K –
ALLISON TRANSMISSION HLDGS I COM 1M 16K –
ALPHABET INC CAP STK CL A 942K 5K –
ALPHABET INC CAP STK CL C 469K 3K –
ALPS ETF TR ALERIAN MLP 1M 22K –
Amazon Com Inc COM 6M 31K –
AMC ENTMT HLDGS INC CL A NEW 85K 17K –
AMERICAN ELEC PWR CO INC COM 594K 7K –
AMTD DIGITAL INC SPONSORED ADS 57K 16K –
APOLLO GLOBAL MGMT INC COM 330K 3K –
APOLLOMICS INC CL A SHS 27K 130K –
Apple Inc COM 3M 15K –
ATLASSIAN CORPORATION CL A 210K 1K –
Avery Dennison Corp COM 373K 2K –
BANK AMERICA CORP 7.25%CNV PFD L 24K 20 –
BANK AMERICA CORP COM 253K 6K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 2M 5K –
Beyond Air Inc COM 8K 14K –
Bigbear Ai HLDGS Inc COM 55K 37K –
BlackRock Inc COM 553K 702 –
BLACKSTONE INC COM 810K 7K –
BRISTOL-MYERS SQUIBB CO COM 359K 9K –
BROOKFIELD CORP CL A LTD VT SH 1M 26K –
BROOKFIELD ASSET MANAGMT LTD CL A LMT VTG SHS 227K 6K –
COCA COLA CO COM 214K 3K –
LAM RESEARCH CORP COM 362K 339 –
NETFLIX INC COM 252K 373 –
NVIDIA CORPORATION COM 1M 12K –
TESLA INC COM 914K 5K –
SCHWAB CHARLES CORP COM 637K 9K –
CHENIERE ENERGY PARTNERS LP COM UNIT 800K 16K –
CISCO SYS INC COM 516K 11K –
Citigroup Inc COM NEW 537K 8K –
CLOUDFLARE INC CL A COM 255K 3K –
CONSOLIDATED EDISON INC COM 597K 7K –
CYBIN INC COM 16K 60K –
DATADOG INC CL A COM 266K 2K –
EDWARDS LIFESCIENCES CORP COM 209K 2K –
ELI LILLY & CO COM 600K 663 –
ENBRIDGE INC COM 234K 7K –
SELECT SECTOR SPDR TR ENERGY 912K 10K –
ENTERPRISE PRODS PARTNERS L COM 231K 8K –
Exxon Mobil Corp COM 714K 6K –
META PLATFORMS INC CL A 231K 459 –
FEDERAL RLTY INVT TR NEW SH BEN INT NEW 223K 2K –
FIDELITY MERRIMACK STR TR TOTAL BD ETF 3M 74K –
SELECT SECTOR SPDR TR FINANCIAL 657K 16K –
FORD MTR CO DEL COM 438K 35K –
FRANKLIN LTD DURATION INCOME COM 294K 46K –
GENERAL MLS INC COM 744K 12K –
Gilead Sciences Inc COM 487K 7K –
GINKGO BIOWORKS HOLDINGS INC CL A SHS 72K 215K –
GLOBAL X FDS CYBRSCURTY ETF 40K 1K –
GLOBAL X FDS RBTCS ARTFL INTE 162K 5K –
GLOBAL X FDS US INFR DEV ETF 1M 34K –
GOLDMAN SACHS ETF TR ACTIVEBETA US LG 594K 6K –
GOLDMAN SACHS GROUP INC COM 2M 4K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 38K 264 –
HEICO CORP NEW COM 277K 1K –
Home Depot Inc COM 781K 2K –
INTERNATIONAL BUSINESS MACHS COM 791K 5K –
INTUIT COM 332K 505 –
INVESCO QQQ TR UNIT SER 1 10M 20K –
ISHARES TR ISHARES BIOTECH 5K 40 –
ISHARES TR CORE S&P500 ETF 201K 367 –
ISHARES TR CORE S&P MCP ETF 430K 7K –
ISHARES TR CORE S&P SCP ETF 403K 4K –
ISHARES TR FLTG RATE NT ETF 527K 10K –
ISHARES TR GLOBAL 100 ETF 1M 11K –
ISHARES TR GLOBAL ENERG ETF 57K 1K –
ISHARES TR IBOXX HI YD ETF 168K 2K –
ISHARES TR IBOXX INV CP ETF 212K 2K –
ISHARES TR MSCI EAFE ETF 7M 91K –
ISHARES TR EAFE VALUE ETF 40K 760 –
ISHARES TR MSCI EMG MKT ETF 469K 11K –
ISHARES TR RUS 1000 GRW ETF 227K 624 –
ISHARES TR RUS 2000 VAL ETF 12M 79K –
ISHARES TR RUS 2000 GRW ETF 10M 39K –
ISHARES TR RUSSELL 2000 ETF 1M 6K –
ISHARES TR RUS MD CP GR ETF 5M 48K –
ISHARES TR RUS MDCP VAL ETF 6M 47K –
ISHARES TR S&P 500 GRWT ETF 23M 250K –
ISHARES TR S&P 500 VAL ETF 26M 141K –
ISHARES TR SP SMCP600VL ETF 55K 568 –
ISHARES TR S&P SML 600 GWT 51K 400 –
ISHARES TR SELECT DIVID ETF 11M 93K –
ISHARES TR TIPS BD ETF 202K 2K –
ISHARES TR CORE S&P TTL STK 6K 47 –
ISHARES TR U.S. TECH ETF 275K 2K –
ISHARES TR PFD AND INCM SEC 2M 55K –
ISHARES TR US AER DEF ETF 244K 2K –
ISHARES TR US HLTHCR PR ETF 91K 2K –
HANCOCK JOHN TAX-ADVANTAGED COM 204K 10K –
Johnson & Johnson COM 330K 2K –
JPMORGAN CHASE & CO. COM 1M 7K –
LAMAR ADVERTISING CO NEW CL A 530K 4K –
LENNAR CORP CL A 808K 5K –
Lockheed Martin Corp COM 344K 737 –
MARSH & MCLENNAN COS INC COM 497K 2K –
MCDONALDS CORP COM 406K 2K –
Merck & Co Inc COM 504K 4K –
Metlife Inc COM 244K 3K –
Microsoft Corp COM 2M 4K –
Morgan Stanley COM NEW 421K 4K –
Nextera Energy Inc COM 519K 7K –
NU HLDGS LTD ORD SHS CL A 129K 10K –
NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 146K 12K –
NUVEEN AMT FREE MUN CR INC F COM 244K 19K –
Paychex Inc COM 264K 2K –
PFIZER INC COM 379K 14K –
PHILIP MORRIS INTL INC COM 368K 4K –
PIMCO ETF TR ENHAN SHRT MA AC 857K 9K –
SEA LTD SPONSORD ADS 431K 6K –
SELECT SECTOR SPDR TR SBI INT-UTILS 696K 10K –
SERVICENOW INC COM 312K 397 –
SHOPIFY INC CL A 240K 4K –
SONOCO PRODS CO COM 999K 20K –
Southern Copper Corp COM 999K 9K –
SPDR SER TR BBG CONV SEC ETF 2M 28K –
SPDR DOW JONES INDL AVERAGE UT SER 1 235K 600 –
SPDR S&P 500 ETF TR TR UNIT 2M 3K –
SPDR SER TR S&P 600 SMCP VAL 7K 92 –
SPDR SER TR AEROSPACE DEF 245K 2K –
SPDR SER TR S&P BIOTECH 303K 3K –
TYLER TECHNOLOGIES INC COM 658K 1K –
Uber Technologies Inc COM 347K 5K –
Uipath Inc CL A 144K 11K –
UNITED STS OIL FD LP UNITS 2M 27K –
VANECK ETF TRUST ISRAEL ETF 63K 2K –
VANECK ETF TRUST PREFERRED SECURT 1M 61K –
VANECK ETF TRUST SEMICONDUCTR ETF 122K 468 –
VANECK ETF TRUST GOLD MINERS ETF 11K 325 –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 3M 66K –
VANGUARD INDEX FDS GROWTH ETF 2M 5K –
VANGUARD INDEX FDS LARGE CAP ETF 57K 226 –
VANGUARD INDEX FDS MCAP GR IDXVIP 485K 2K –
VANGUARD SCOTTSDALE FDS VNG RUS2000GRW 119K 620 –
VANGUARD INDEX FDS S&P 500 ETF SHS 194K 387 –
VANGUARD SCOTTSDALE FDS INT-TERM CORP 256K 3K –
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 2M 23K –
VANGUARD INDEX FDS VALUE ETF 157K 973 –
VERIZON COMMUNICATIONS INC COM 202K 5K –
WARNER MUSIC GROUP CORP COM CL A 247K 8K –
WASTE MGMT INC DEL COM 304K 1K –
WELLS FARGO CO NEW COM 167K 3K –
WELLS FARGO CO NEW PERP PFD CNV A 119K 100 –
Whitehorse Fin Inc COM 140K 11K –
WILLIAMS COS INC COM 264K 6K –
XERIS BIOPHARMA HOLDINGS INC COM 113K 50K –