PARSONEX ADVISORY SERVICES, INC.
Adviser information for PARSONEX ADVISORY SERVICES, INC. last updated from Form ADV on March 28th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 15 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 455 | $140.9M |
| Non-Discretionary | 32 | $10.7M |
| Total | 487 | $151.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 443 | $66.2M |
| HNW Individuals | 44 | $85.5M |
| 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 | 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 | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesSubscription feesFixed fees |
Identifiers
| SEC RIA File Number | 801-74543 |
|---|---|
| SEC ERA File Number | 801-74543 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 160275 |
| Legal Entity Identifier | None |
Principal Office
8310 S. VALLEY HIGHWAYSUITE 110
ENGLEWOOD
CO
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 303-662-8700, Fax: 303-309-6438
Websites
Chief Compliance Officer
BRIAN NEUSTROM
CCO
8310 S. VALLEY HIGHWAY
SUITE 110
ENGLEWOOD
CO
United States
Tel:
303-662-8700
Fax:
303-309-6438
B********@***********M
(Full email address available in API data)
Regulatory Contact
MATTHEW PETTERA
COMPLIANCE OFFICER
8310 S. VALLEY HIGHWAY
SUITE 110
ENGLEWOOD
CO
United States
Tel:
303-662-8700
Fax:
303-309-6438
M******@***********M
(Full email address available in API data)
Industry Affiliates
| E. MAGNUS OPPENHEIM & CO. INC. | Other investment adviser, including financial planners |
| PARSONEX CAPITAL ADVISORS, LLC | Other investment adviser, including financial planners |
| PARSONEX CAPITAL MARKETS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PARSONEX OPPORTUNITY FUND I, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PARSONEX PROPERTIES, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PARSONEX SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PARSONEX SPECIAL SITUATIONS FUND, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Miller, Jonathan, Edward | Individual | – | CEO | 12/2011 | < 5% |
| PARSONEX ENTERPRISES, INC. | Domestic Entity | – | PARENT COMPANY | 12/2011 | > 75% |
| MILLER, JONATHAN, EDWARD | Individual | PARSONEX ENTERPRISES, INC. | CEO | 12/2011 | > 75% |
| Neustrom, Brian, William | Individual | – | CCO | 03/2024 | < 5% |