HOERTKORN RICHARD CHARLES
Adviser information for HOERTKORN RICHARD CHARLES 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 | Sole Proprietorship |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 224 | $240.4M |
| Non-Discretionary | 0 | $0 |
| Total | 224 | $240.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 29 | $8.5M |
| HNW Individuals | 56 | $184.2M |
| 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 | $11.9M |
| Charitable organizations | <5 | $1.8M |
| 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 | $34.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Real estate broker, dealer, or agent |
Principal Office
1112 SIR FRANCIS DRAKE BLVD.KENTFIELD
CA
United States
Monday - Friday, 8:30 AM TO 4:00 PM
Tel: 415-482-8899, Fax: 415-482-8811
Chief Compliance Officer
HOERTKORN, RICHARD CHARLES
1112 SIR FRANCIS DRAKE BLVD.
KENTFIELD
CA
United States
Tel:
415-482-8899
Fax:
415-482-8811
R****@**********T
(Full email address available in API data)
Regulatory Contact
HOERTKORN, RICHARD CHARLES
OWNER
1112 SIR FRANCIS DRAKE BLVD.
KENTFIELD
CA
United States
Tel:
415-482-8899
Fax:
415-482-8811
R****@**********T
(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 |
|---|---|---|---|---|---|
| HOERTKORN, RICHARD, CHARLES | Individual | – | SOLE PROP./CHIEF COMPLIANCE OFFICER | 02/1972 | > 75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 22nd, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ADVANCED MICRO DEVICE | COM | 644K | 4K | – |
| ALIBABA GROUP HOLDING | SPONSORED ADR | 648K | 9K | – |
| ALPHABET, INC. | CL A | 14M | 79K | – |
| ALPHABET, INC. | CL C | 948K | 5K | – |
| AMAZON.COM INC. | COM | 2M | 10K | – |
| AMERICAN STS WTR CO | COM | 85K | 1K | – |
| APA CORPORATION | COM | 6M | 187K | – |
| APPLE INC | COM | 27M | 126K | – |
| AT&T INC | COM | 79K | 4K | – |
| BANK OF AMERICA CORPORATION | COM | 12M | 309K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 2M | 4K | – |
| BLACKSTONE, INC. | COM | 145K | 1K | – |
| BLOCK, INC. | COM | 7K | 102 | – |
| BOEING CO | COM | 6M | 34K | – |
| BP PLC | COM | 4K | 100 | – |
| CARRIER GLOBAL CORP | COM | 86K | 1K | – |
| CARLYLE GROUP, INC. | COM | 1M | 25K | – |
| CBRE GROUP INC | COM | 1M | 13K | – |
| CHEVRON CORP NEW | COM | 2M | 15K | – |
| CHURCHILL DOWNS, INC. | COM | 140 | 1 | – |
| CISCO SYS INC | COM | 3M | 66K | – |
| CITIGROUP INC | COM | 6K | 100 | – |
| COCA COLA CO | COM | 825K | 13K | – |
| COMCAST CORP NEW CLASS A | COM | 1K | 33 | – |
| CONOCOPHILLIPS | COM | 2M | 14K | – |
| CONSTELLATION BRANDS INC | CL A | 1M | 4K | – |
| DEVON ENERGY CORP NEW | COM | 6M | 134K | – |
| DISNEY WALT CO | COM | 2M | 19K | – |
| DNP SELECT INCOME FD | COM | 211K | 26K | – |
| ELECTRONIC ARTS, INC. | COM | 139 | 1 | – |
| ESPERION THERAPEUTIC | COM | 4K | 2K | – |
| EXXON MOBIL CORP | COM | 3M | 30K | – |
| FORD MTR CO DEL | COM PAR $0.01 | 5M | 422K | – |
| GENERAL ELECTRIC CO | COM | 12M | 73K | – |
| GE VERNOVA INC. | COM | 3M | 18K | – |
| GE HEALTHCARE TECHNOLOGIES | COM | 77K | 993 | – |
| HALIBURTON CO. HLDG. CO. | COM | 135 | 4 | – |
| HANCOCK JOHN INVS TR | COM | 226K | 17K | – |
| HASBRO, INC. | COM | 59 | 1 | – |
| HOME DEPOT | COM | 7M | 21K | – |
| ILLINOIS TOOL WKS INC | COM | 474K | 2K | – |
| INTEL CORP | COM | 4M | 143K | – |
| INVESCO LTD | COM | 125K | 8K | – |
| JOHNSON & JOHNSON | COM | 1M | 8K | – |
| JPMORGAN CHASE & CO | COM | 12M | 57K | – |
| KIMBERLY CLARK CORP | COM | 86K | 624 | – |
| KIMCO REALTY CORP | COM | 11K | 550 | – |
| KINDER MORGAN, INC. | COM | 11M | 539K | – |
| LILLY ELI & CO | COM | 634K | 700 | – |
| MARVELL TECHNOLOGY, INC. | COM | 20M | 283K | – |
| MATTEL INCORPORATED | COM | 618 | 38 | – |
| MCDONALDS CORP | COM | 3M | 14K | – |
| META PLATFORMS | COM | 20K | 39 | – |
| MFS MULTIMARKET INCOME TR | SH BEN INT | 103K | 22K | – |
| MICROSOFT CORP | COM | 21M | 46K | – |
| NETFLIX | COM | 1K | 2 | – |
| NOKIA CORP. SPON ADR | SPONSORED ADR | 11 | 3 | – |
| NORTHERN TR CORP | COM | 67K | 800 | – |
| NVIDIA CORP | COM | 423K | 3K | – |
| OTIS WORLDWIDE CORP | COM | 66K | 682 | – |
| PARAMOUNT GLOBAL | COM | 2M | 161K | – |
| PAYPAL HOLDINGS, INC. | COM | 3M | 51K | – |
| PEPSICO INC | COM | 153K | 930 | – |
| PFIZER INC | COM | 222K | 8K | – |
| PRINCIPAL FINL GROUP INC | COM | 21K | 272 | – |
| PROCTER & GAMBLE CO | COM | 12M | 75K | – |
| PUBLIC STORAGE | COM | 103K | 357 | – |
| RAYTHEON TECHNOLOGIES CO | COM | 137K | 1K | – |
| REALTY INCOME CORP | COM | 35K | 666 | – |
| ROCKWELL AUTOMATION | COM | 138K | 500 | – |
| SCHLUMBERGER LTD | COM | 31K | 650 | – |
| SCHWAB CHARLES CORP NEW | COM | 8M | 103K | – |
| SCHWAB STRATEGIC TR | US BRD MARKET ETF | 57K | 900 | – |
| SPOTIFY TECHNOLOGY | COM | 628 | 2 | – |
| STARBUCKS CORP | COM | 308K | 4K | – |
| T-MOBILE US INC | COM | 8M | 46K | – |
| TRICO BANCSHARES CHICO | COM | 14K | 355 | – |
| TRISALUS LIFE SCIENCES | COM | 4K | 668 | – |
| UBER, TECHNOLOGIES INC. | COM | 15K | 200 | – |
| VANGUARD ADMIRAL FUNDS INC | 500 GROWTH IDX FD | 178K | 534 | – |
| VANGUARD INDEX FDS | LARGE CAP ETF | 36K | 145 | – |
| VERIZON COMMUNICATIONS | COM | 4K | 98 | – |
| VISA, INC. CLASS A | COM | 12K | 46 | – |
| WARNER BROS. DISCOVERY | COM | 275 | 37 | – |
| WYNN RESORTS | COM | 69K | 772 | – |
| YUM BRANDS | COM | 49K | 372 | – |