Warren Financial Service & Associates, Inc.
- Regulatory AUM
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- Discretionary
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- Clients
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- Avg AUM / client
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- Accounts
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- Employees
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AUM over time
Annual snapshots from Form ADV filings · as of Mar 26, 2024
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Mar 2024 · $74.8M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Big Dividend Hedge Strategy | Hedge Fund | Delaware | $74.8M | 76 |
People (8)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Warren, Randall, Alan | Chief Compliance Officer | Jan 2001 (26y) | 75% or more | |
| Copeland, Karen | Director Technology | Jan 2021 (6y) | Less than 5% | |
| John Joseph O'toole | Managing Partner | Jan 2021 (6y) | Less than 5% | |
| Michael Troy Logan | Managing Partner | Jan 2021 (6y) | Less than 5% | |
| Robert A Mccarty | Managing Partner | Jan 2021 (6y) | Less than 5% | |
| Scott Shellhamer | Managing Partner | Jan 2021 (6y) | Less than 5% | |
| Sisson, Justin, Kyle | Sr Financial Analyst | Jan 2021 (6y) | Less than 5% | |
| Warren, Austin | Sr Financial Analyst | Jan 2021 (6y) | Less than 5% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (1, $74.8M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Big Dividend Hedge Strategy | Hedge Fund | $74.8M | $300K | 76 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/26/2024 | 535 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
Not reported.
Custody
Reported custodians
- TD Ameritrade $333M (91% of AUM) Aug 2022
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 26, 2024.
View current Form ADV (SEC/IAPD) ↗