CONVERGENT WEALTH ADVISORS, LLC
Adviser information for CONVERGENT WEALTH ADVISORS, LLC last updated from Form ADV on February 15th, 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 | OCTOBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| 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 | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 0 | $0 |
| 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 |
Services
| Advisory Services | – |
|---|---|
| Compensation | – |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 802-114776 |
|---|---|
| SEC ERA File Number | 802-114776 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 143719 |
| Legal Entity Identifier | None |
Principal Office
555 S. FLOWER ST.10TH FLOOR
CALIFORNIA
CA
United States
Monday - Friday, 9AM - 5PM
Tel: (310) 888-6460, Fax: None
Chief Compliance Officer
DAVID ELLIOTT
MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER
555 S. FLOWER ST.
10TH FLOOR
LOS ANGELES
CA
United States
Tel:
(703) 801-6439
D************@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| JUPITER FUND PLUS SERIES, OF WINDERMERE JUPITER FUND, LLC | Hedge Fund | $3.9M | $0.0M | 28 |
| WINDERMERE OPPORTUNISTIC FUND SERIES, OF WINDERMERE JUPITER FUND, LLC | Hedge Fund | $0.4M | $0.0M | 96 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ELLIOTT, DAVID, BRUCE | Individual | – | MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER | 03/2007 | < 5% |
| CONVERGENT CAPITAL MANAGEMENT LLC | Domestic Entity | – | INTERESTHOLDER/MEMBER | 05/2007 | > 75% |
| RBC USA HOLDCO CORPORATION | Domestic Entity | CONVERGENT CAPITAL MANAGEMENT LLC | OWNER | 11/2015 | > 75% |
| ROYAL BANK OF CANADA | Foreign Entity | RBC USA HOLDCO CORPORATION | ULTIMATE OWNER | 11/2015 | > 75% |
| FRANCOEUR, GREGORY, PAUL | Individual | – | MANAGING DIRECTOR/BOARD MEMBER | 08/2019 | < 5% |