GLOBALT INVESTMENTS
SYNOVUS TRUST COMPANY, N.A. Legal Name
Adviser information for GLOBALT INVESTMENTS last updated from Form ADV on March 30th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Other (specify) |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Georgia, United States |
Employees
| Total Number of Employees | 21 |
|---|---|
| Investment Advisory/Research | 21 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 13 |
| 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 | 4,225 | $2.5B |
| Non-Discretionary | 0 | $0 |
| Total | 4,225 | $2.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 3,416 | $852.0M |
| HNW Individuals | 577 | $1.1B |
| 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 | 21 | $84.7M |
| Charitable organizations | 51 | $82.8M |
| State or municipal gov entities | <5 | $164.7M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 157 | $259.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| 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 clientsMODEL PORTFOLIO PROVIDER |
|---|---|
| Compensation | % of AUMFixed feesPCT OF MODEL PORTFOLIO FEE |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 1.8B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| MANAGER ACCESS SELECT | LPL FINANCIAL |
| LPL MANAGER SELECT | AXA ADVISORS |
| MANAGER SELECT | LPL FINANCIAL |
| SSI OUTSIDE MONEY MANAGER PLATFORM - GLOBALT | SYNOVUS SECURITIES, INC. |
Identifiers
| SEC RIA File Number | 801-78344 |
|---|---|
| SEC ERA File Number | 801-78344 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 168405 |
| Legal Entity Identifier | None |
Principal Office
3400 OVERTON PARK DRIVESUITE 200
ATLANTA
GA
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M.
Tel: 404-364-2188, Fax: 404-364-2189
Websites
Chief Compliance Officer
ANNETTE M. MARSHALL
CHIEF COMPLIANCE OFFICER
3400 OVERTON PARK DRIVE
SUITE 200
ATLANTA
GA
United States
Tel:
678-802-4433
A********@**********M
(Full email address available in API data)
Regulatory Contact
GENE GUNDERSON
DIRECTOR OF COMPLIANCE, TRUST AND BROKERAGE
1111 BAY AVENUE, 4TH FLOOR
COLUMBUS
GA
United States
Tel:
706-644-0298
G************@**********M
(Full email address available in API data)
Industry Affiliates
| SYNOVUS BANK | Banking or thrift institutionInsurance company or agency |
| SYNOVUS SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered municipal advisorInsurance company or agency |
| SYNOVUS TRUST COMPANY, N.A. | Trust companyInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FULLAM, GARY, EDWARD | Individual | – | CHIEF INVESTMENT OFFICER | 03/1991 | < 5% |
| ROACH, WILLIAM, HENRY | Individual | – | PRESIDENT, GLOBALT DIVISION | 01/1992 | < 5% |
| SYNOVUS BANK | Domestic Entity | – | OWNER | 01/1995 | > 75% |
| SYNOVUS FINANCIAL CORPORATION | Domestic Entity | SYNOVUS BANK | OWNER | 01/1995 | > 75% |
| CRAIG, DRAKE, JOHN | Individual | – | CHIEF OPERATING OFFICER | 05/2021 | < 5% |
| MARSHALL, ANNETTE, MICHELLE | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2021 | < 5% |
| Rodgers, Elizabeth, Krawcheck | Individual | – | PRESIDENT OF SYNOVUS TRUST CO, N.A. | 10/2022 | < 5% |