Wallace Investments
State-registered
Insurance-Affiliated · Boutique (under $100M)
CRD 300335
· New York, NY
· www.wallaceinvestment.com
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ADV data as of Aug 16, 2024
- Regulatory AUM
- $13.2M
- Discretionary
- $13.2M
- Clients
- 36
- Avg AUM / client
- $366K
- Accounts
- 31
- Employees
- 1
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 31 | $1.9M | 14.4% |
| High net worth individuals | 4 | — | — |
| Pension and profit sharing plans | 0 | $0 | — |
| Charitable organizations | 0 | $0 | — |
| State or municipal government entities | 0 | $0 | — |
| Other investment advisers | 0 | $0 | — |
| Insurance companies | 0 | $0 | — |
| Sovereign wealth funds and foreign official institutions | 0 | $0 | — |
| Corporations and other businesses | 0 | $0 | — |
| Other | 1 | $11.3M | 85.6% |
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 08/16/2024 | 1.01 MB | 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
- • Percentage of assets under management
- • Hourly charges
- • Commissions
- • Other fees
- • REAL ESTATE COMMISSIONS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Aug 16, 2024.
View current Form ADV (SEC/IAPD) ↗