Hedge Fund Database

COPPER FINANCIAL

COPPER FINANCIAL NETWORK, LLC Legal Name

Adviser information for COPPER FINANCIAL last updated from Form ADV on March 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 Missouri, United States

Employees

Total Number of Employees 56
Investment Advisory/Research 43
Registered Broker-Dealer Representatives 49
Registered State Investment Advisers 43
Licensed Agents of an Insurance Company 38
No. of Firms/People that Solicit Clients 5

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 2,791 $306.4M
Non-Discretionary 0 $0
Total 2,791 $306.4M

Clients

Type Number RAUM
Individuals 2,259 $282.5M
HNW Individuals 15 $23.7M
Banking or thrift institutions <5 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans <5 $0
Charitable organizations <5 $0
State or municipal gov entities <5 $0
Other investment advisers <5 $0
Insurance companies <5 $0
Sovereign wealth funds and foreign official institutions <5 $0
Corporations or other businesses 1 $213,661
Other <5 $0
Type Number
No. of Non-RAUM Clients 556
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 0

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshopsFEES FROM THIRD-PARTY MANAGERS TO WHOM WE REFER BUSINESS
Compensation % of AUMHourly chargesFixed fees
Other Business Activities Broker-dealerInsurance broker or agent

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 306.4M
Portfolio Manager 306.4M
Both for Same 306.4M
Portfolio Manager to Program Sponsor
ASSET ALLOCATION MANAGED PORTFOLIOS COPPER FINANCIAL
GUIDED INVESTING COPPER FINANCIAL

Identifiers

SEC RIA File Number 801-89168
SEC ERA File Number 801-89168
SEC CIK Numbers None
SEC CRD Numbers 168203
Legal Entity Identifier None

Principal Office

9777 RIDGE DRIVE, SUITE 360
LENEXA
KS
United States
Monday - Friday, 8-5
Tel: 913-905-3600, Fax: 913-905-3601

Websites

www.linkedin.com/company/copper-financial cu.financial www.communityamerica.com/financial-planning www.facebook.com/specialneedsplanningcenter

Chief Compliance Officer

JUSTIN STEITZ
PRESIDENT
9777 RIDGE DRIVE
SUITE 360
LENEXA
KS
United States
Tel: 913.905.8192
Fax: 913.905.7192
(Full email address available in API data)

Regulatory Contact

MICHAEL HAGGERTY
PRINCIPAL
9777 RIDGE DRIVE, SUITE 360
LENEXA
KS
United States
Tel: 913.905.8116
Fax: 913.905.7116
(Full email address available in API data)

Industry Affiliates

COMMUNITYAMERICA CREDIT UNION Banking or thrift institution
COMMUNITYAMERICA INSURANCE AGENCY, LLC Insurance company or agency

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
HAGGERTY, MICHAEL PATRICK Individual – PRINCIPAL 06/2013 < 5%
COMMUNITYAMERICA CUSO ONE LLC Domestic Entity – SHAREHOLDER 11/2001 > 75%
STEITZ, JUSTIN ROBERT Individual – PRESIDENT, CHIEF COMPLIANCE OFFICER 07/2013 < 5%
COMMUNITYAMERICA CREDIT UNION Domestic Entity COMMUNITYAMERICA CUSO ONE LLC SOLE SHAREHOLDER 11/2001 > 75%
GINTER, LISA Individual COMMUNITYAMERICA CUSO ONE, LLC ELECTED MANAGER 03/2015
PATRICK, MICHAEL Individual COMMUNITYAMERICA CUSO ONE, LLC ELECTED MANAGER 07/2008
SARACINI, TIMOTHY RICE Individual COMMUNITYAMERICA CUSO ONE, LLC ELECTED MANAGER 09/2016
GINTER, LISA ROSELLE Individual – ELECTED MANAGER 03/2015 < 5%
PATRICK, MICHAEL ALAN Individual – ELECTED MANAGER 07/2008 < 5%
SARACINI, TIMOTHY RICE Individual – ELECTED MANAGER 09/2016 < 5%
KROPP, STEPHEN DALE Individual – ELECTED MANAGER 01/2021 < 5%
KROPP, STEPHEN DALE Individual COMMUNITYAMERICA CUSO ONE, LLC ELECTED MANAGER 01/2021
DEHNER, MICHAEL JAMES Individual – FINANCIAL OPERATIONS PRINCIPAL 03/2022 < 5%
CHRISTIAN, TRACY Individual – ELECTED MANAGER 12/2022 < 5%
CHRISTIAN, TRACY Individual COMMUNITYAMERICA CUSO ONE, LLC ELECTED MANAGER 12/2022

No. Employees, Historic

60300201920202021202220232024202537 on 5/20/201937 on 7/1/201937 on 11/4/201937 on 2/7/202040 on 3/31/202040 on 6/29/202040 on 7/7/202040 on 10/26/202040 on 11/16/202039 on 3/31/202139 on 5/10/202139 on 7/12/202139 on 7/13/202139 on 7/26/202139 on 8/10/202139 on 10/11/202146 on 3/31/202246 on 4/4/202246 on 4/6/202246 on 4/15/202246 on 11/4/202246 on 11/7/202246 on 12/22/202250 on 3/31/202350 on 4/6/202350 on 4/13/202350 on 5/19/202350 on 9/16/202356 on 3/28/2024

RAUM, Historic

400M200M02019202020212022202320242025217303099 on 5/20/2019217303099 on 7/1/2019217303099 on 11/4/2019217303099 on 2/7/2020326807587 on 3/31/2020326807587 on 6/29/2020326807587 on 7/7/2020326807587 on 10/26/2020326807587 on 11/16/2020151162159 on 3/31/2021151162159 on 5/10/2021151162159 on 7/12/2021151162159 on 7/13/2021151162159 on 7/26/2021151162159 on 8/10/2021151162159 on 10/11/2021294345172 on 3/31/2022294345172 on 4/4/2022294345172 on 4/6/2022294345172 on 4/15/2022294345172 on 11/4/2022294345172 on 11/7/2022294345172 on 12/22/2022275772959 on 3/31/2023275772959 on 4/6/2023275772959 on 4/13/2023275772959 on 5/19/2023275772959 on 9/16/2023306448486 on 3/28/2024

No. Clients, Historic

3,0001,500020192020202120222023202420251302 on 5/20/20191302 on 7/1/20191302 on 11/4/20191302 on 2/7/20201545 on 3/31/20201545 on 6/29/20201545 on 7/7/20201545 on 10/26/20201545 on 11/16/2020829 on 3/31/2021829 on 5/10/2021829 on 7/12/2021829 on 7/13/2021829 on 7/26/2021829 on 8/10/2021829 on 10/11/20211710 on 3/31/20221710 on 4/4/20221710 on 4/6/20221710 on 4/15/20221710 on 11/4/20221710 on 11/7/20221710 on 12/22/20221919 on 3/31/20231919 on 4/6/20231919 on 4/13/20231919 on 5/19/20231919 on 9/16/20232275 on 3/28/2024