STRINGER ASSET MANAGEMENT, LLC
Adviser information for STRINGER ASSET MANAGEMENT, LLC 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 80 | $47.9M |
| Non-Discretionary | 0 | $0 |
| Total | 80 | $47.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 75 | $16.7M |
| HNW Individuals | <5 | $8.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $23.1M |
| 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 | 2757 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Registered representative of a broker-dealer |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 23.8M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| INVESTMENT MANAGEMENT SERVICES | MORGAN STANLEY |
| CONSULTING SOLUTIONS | RBC PRIVATE COUNSEL (USA) INC. |
| PRIVATE ADVISOR NETWORK | WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC |
| SCHWAB MANAGED PORTFOLIOS | CHARLES SCHWAB & CO., INC. |
Identifiers
| SEC RIA File Number | 801-77536 |
|---|---|
| SEC ERA File Number | 801-77536 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 166133 |
| Legal Entity Identifier | None |
Principal Office
5050 POPLAR AVENUESUITE 1103
MEMPHIS
TN
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 901-800-2956, Fax: 901-800-2976
Chief Compliance Officer
CHAD KELLER
CHIEF OPERATING OFFICER
5050 POPLAR AVENUE
SUITE 1103
MEMPHIS
TN
United States
Tel:
901-800-2956
Fax:
901-800-2976
C**********@*************M
(Full email address available in API data)
Regulatory Contact
GARY STRINGER
PRESIDENT
5050 POPLAR AVENUE
SUITE 1103
MEMPHIS
TN
United States
Tel:
901-800-2956
Fax:
901-800-2976
G************@*************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 |
|---|---|---|---|---|---|
| STRINGER, GARY, SCOTT | Individual | – | PRESIDENT AND CHIEF INVESTMENT OFFICER | 02/2013 | < 5% |
| LAURUS PRINCIPAL GROUP, LLC | Domestic Entity | – | HOLDING COMPANY / OWNER | 02/2013 | > 75% |
| KELLER, CHAD, NORRIS | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2013 | < 5% |
| SEWICKLEY GEORGETOWNE, LLC | Domestic Entity | LAURUS PRINCIPAL GROUP, LLC | MEMBER | 02/2013 | 25-50% |
| NORTH CHANNEL, LLLP | Domestic Entity | LAURUS PRINCIPAL GROUP, LLC | MEMBER | 02/2013 | 25-50% |
| POPLAR PRINCIPAL GROUP, LLC | Domestic Entity | LAURUS PRINCIPAL GROUP, LLC | MEMBER | 08/2020 | 50-75% |