NOTE ADVISORS, LLC
Adviser information for NOTE ADVISORS, LLC last updated from Form ADV on March 24th, 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 | New York, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 989 | $292.4M |
| Non-Discretionary | 3 | $103,739 |
| Total | 992 | $292.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 377 | $106.9M |
| HNW Individuals | 43 | $117.8M |
| 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 | 24 | $61.0M |
| 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 | 12 | $6.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-79807 |
|---|---|
| SEC ERA File Number | 801-79807 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 171466 |
| Legal Entity Identifier | None |
Principal Office
50 LAKEFRONT BLVD, SUITE 215BUFFALO
NY
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: (716) 256-1682, Fax: None
Chief Compliance Officer
SHAWN GLOGOWSKI
PRINCIPAL
50 LAKEFRONT BLVD, SUITE 215
BUFFALO
NY
United States
Tel:
(716) 256-1682
S****@**************M
(Full email address available in API data)
Regulatory Contact
JORDAN GREEN
COUNSEL
50 LAKEFRONT BLVD, SUITE 215
BUFFALO
NY
United States
Tel:
609-881-0101
J*****@*********************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 |
|---|---|---|---|---|---|
| GLOGOWSKI, SHAWN, CASEY | Individual | – | PRINCIPAL/CCO | 08/2014 | 25-50% |
| WARING, THOMAS, HOWARD | Individual | – | PRINCIPAL | 08/2014 | 50-75% |