MORETON ASSET MANAGEMENT, LLC
Adviser information for MORETON ASSET MANAGEMENT, LLC last updated from Form ADV on February 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 | Utah, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| 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 | 149 | $3.8B |
| Non-Discretionary | 0 | $0 |
| Total | 149 | $3.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 20 | $282.2M |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 18 | $407.0M |
| State or municipal gov entities | 94 | $2.8B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 17 | $330.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsEducational seminars/workshopsREFERRALS TO OTHER IAR |
|---|---|
| Compensation | % of AUMHourly chargesREFERRAL FEES |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 3.8B |
| Portfolio Manager to Program | Sponsor |
|---|---|
| MORETON ASSET MANAGEMENT, LLC | MORETON ASSET MANAGEMENT, LLC |
Identifiers
| SEC RIA File Number | 801-78112 |
|---|---|
| SEC ERA File Number | 801-78112 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 133417 |
| Legal Entity Identifier | 20-1713107 |
Principal Office
40 N 100 EFARMINGTON
UT
United States
Monday - Friday, 7:AM 4:PM
Tel: 801-869-4200, Fax: 801-869-4204
Websites
Chief Compliance Officer
ANDREW ROBBINS
MANAGING MEMBER
40 N 100 E
FARMINGTON
UT
United States
Tel:
801-869-4200
Fax:
801-869-4204
A***@******************M
(Full email address available in API data)
Regulatory Contact
JASON WILLIAMS
PRESIDENT
40 N 100 E
FARMINGTON
UT
United States
Tel:
801-869-4203
Fax:
801-869-4204
J****@******************M
(Full email address available in API data)
Industry Affiliates
| MORETON CAPITAL MARKETS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MORETON, WILLIAM, ROGER | Individual | – | MEMBER | 10/2004 | 25-50% |
| ROBBINS, ANDREW, JAMES | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2012 | 25-50% |
| HANSEN, JORDAN, CHRISTOPHER | Individual | – | MANAGING MEMBER | 03/2012 | 10-25% |
| WILLIAMS, JASON, MARK | Individual | – | MANAGING MEMBER | 03/2012 | 25-50% |