MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC
Adviser information for MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC last updated from Form ADV on March 21st, 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 | North Carolina, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 317 | $51.6M |
| Non-Discretionary | 386 | $1.6B |
| Total | 703 | $1.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 305 | $21.7M |
| HNW Individuals | 12 | $29.9M |
| 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 | 386 | $1.6B |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-76544 |
|---|---|
| SEC ERA File Number | 801-76544 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 117868 |
| Legal Entity Identifier | None |
Principal Office
3540 TORINGDON WAYSUITE 200
CHARLOTTE
NC
United States
Monday - Friday, 8AM - 5PM
Tel: 704-743-3335, Fax: 866-239-6412
Websites
Chief Compliance Officer
RICK CANIPE
PRESIDENT
3540 TORINGDON WAY
SUITE 200
CHARLOTTE
NC
United States
Tel:
704-743-3335
Fax:
866-239-6412
R***@*************M
(Full email address available in API data)
Regulatory Contact
JAMES HOLLAND
ASSISTANT COMPLIANCE OFFICER
3540 TORINGDON WAY
SUITE 200 26D
CHARLOTTE
NC
United States
Tel:
704-743-3226
Fax:
866-239-6412
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 |
|---|---|---|---|---|---|
| CANIPE, RICKY, GENE | Individual | – | CHIEF COMPLIANCE OFFICER/MANAGING MEMBER | 01/2000 | 50-75% |
| HOLLAND, JAMES, MATTHEW | Individual | – | ASSISTANT COMPLIANCE OFFICER | 01/2019 | 50-75% |