FINANCIAL COUNSELING ASSOCIATES, INC
FINANCIAL COUNSELING ASSOCIATES, INC. Legal Name
Adviser information for FINANCIAL COUNSELING ASSOCIATES, INC last updated from Form ADV on February 16th, 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 | 4 |
|---|---|
| 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 | 359 | $271.7M |
| Non-Discretionary | 4 | $21.3M |
| Total | 363 | $293.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 363 | $168.7M |
| HNW Individuals | 80 | $100.0M |
| 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 | <5 | $21.3M |
| Charitable organizations | <5 | $3.0M |
| 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 | 1 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-79159 |
|---|---|
| SEC ERA File Number | 801-79159 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 115123 |
| Legal Entity Identifier | None |
Principal Office
16475 W 51ST PLACEGOLDEN
CO
United States
Monday - Friday, 9 AM TO 5PM
Tel: 1-866-322-2728, Fax: 303-317-4620
Websites
Chief Compliance Officer
MATTHEW RILLOS
PRESIDENT
16475 W 51ST PLACE
GOLDEN
CO
United States
Tel:
1-866-322-2728
Fax:
303-317-4620
T******@**********M
(Full email address available in API data)
Regulatory Contact
JOHN J. KOPEL
VICE PRESIDENT
6129 S. CATHAY CT.
AURORA
CO
United States
Tel:
1-866-322-2728
Fax:
303-317-4620
T******@**********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 |
|---|---|---|---|---|---|
| KOPEL, JOHN, JOSEPH | Individual | – | VICE-PRESIDENT | 02/1993 | 50-75% |
| RILLOS, MATTHEW, JOSEPH | Individual | – | CCO | 01/2018 | 50-75% |