WALPOLE FINANCIAL ADVISORS, LLC
Adviser information for WALPOLE FINANCIAL ADVISORS, LLC last updated from Form ADV on February 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 | California, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| 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 | 457 | $280.5M |
| Non-Discretionary | 0 | $0 |
| Total | 457 | $280.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 124 | $49.0M |
| HNW Individuals | 48 | $116.6M |
| 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 | $9.4M |
| Charitable organizations | <5 | $83,917 |
| 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 | <5 | $105.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 23 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-79284 |
|---|---|
| SEC ERA File Number | 801-79284 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 135834 |
| Legal Entity Identifier | None |
Principal Office
70 SANTA FELICIA DRIVEGOLETA
CA
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 805-845-6587, Fax: 805-569-9542
Websites
Chief Compliance Officer
KIRK B. STOVESAND
MEMBER/PARTNER & CHIEF COMPLIANCE OFFICER
70 SANTA FELICIA DRIVE
GOLETA
CA
United States
Tel:
805-845-6587
Fax:
805-569-9542
K***@******************M
(Full email address available in API data)
Regulatory Contact
MARLIN STOVESAND
INVESTMENT ADVISORY REPRESENTATIVE
70 SANTA FELICIA DRIVE
GOLETA
CA
United States
Tel:
805-845-6587
Fax:
805-569-9542
M*****@******************M
(Full email address available in API data)
Industry Affiliates
| WALPOLE & CO. LLP | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| STOVESAND, KIRK, BRIAN | Individual | – | MEMBER/PARTNER & CHIEF COMPLIANCE OFFICER | 07/2001 | 50-75% |
| BALOGUN, YUSUF, ABIOLA | Individual | – | MEMBER | 03/2020 | 50-75% |