RCM WEALTH ADVISORS
KNOW YOUR OPTIONS LLC Legal Name
Adviser information for RCM WEALTH ADVISORS last updated from Form ADV on March 7th, 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 | Illinois, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 9 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 736 | $96.9M |
| Non-Discretionary | 69 | $157.9M |
| Total | 805 | $254.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 154 | $6.5M |
| HNW Individuals | 358 | $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 | 43 | $148.3M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-92177 |
|---|---|
| SEC ERA File Number | 801-92177 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 153641 |
| Legal Entity Identifier | None |
Principal Office
318 W ADAMS ST10TH FLOOR
CHICAGO
IL
United States
Monday - Friday, 8:30AM-5PM
Tel: 866-903-1822, Fax: 312-277-7180
Websites
Chief Compliance Officer
TIMOTHY WEBB
CIO, CCO
318 W ADAMS ST
10TH FLOOR
CHICAGO
IL
United States
Tel:
866-903-1822
Fax:
312-277-7180
T****@********M
(Full email address available in API data)
Industry Affiliates
| ATTAIN PORTFOLIO ADVISORS | Commodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SCHWARTZ, ROBERT | Individual | – | MEMBER | 12/2012 | 25-50% |
| WEBB, TIMOTHY, M | Individual | – | CIO, CCO | 06/2013 | 50-75% |