Ct Financial Advisors, LLC (Chadds Ford)


Ct Financial Advisors, LLC is a large advisory firm based in Chadds Ford. It manages $199.21 million of regulatory assets for 536 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of Delaware, Maryland, New Jersey, and Pennsylvania.

Ct Financial Advisors provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Ct Financial Advisors: assets under management

The assets under management (AUM) of Ct Financial Advisors, LLC is $199.21 million. The firm's AUM has grown by 24% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $11.41 million in discretionary accounts and $187.81 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $11.41 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $351.04 thousand.
Ct Financial Advisors has custody of $155 million in cash and securities for 102 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 81% of the total AUM. The second-largest asset type is state and local bonds, which make up 8% of the firm’s portfolio. Investments in cash and cash equivalents form 4% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ct Financial Advisors, LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Ct Financial Advisors serves?

The firm provides services to individuals, high net worth individuals, and pooled investment vehicles. The largest group of clients of Ct Financial Advisors is high net worth individuals with 77 clients and $153.38 million of assets under management. Among the 9 most similar advisory firms, Ct Financial Advisors has the 4th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $178.2 million for 209 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Ct Financial Advisors also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $500,000 for each fund.

Careers at Ct Financial Advisors, LLC

The company employs 5 people that are either part- or full-time employees. 80 percent of the employees work as investment advisers or researchers. 4 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Christopher Edward Winn Member and chief compliance officer 1 Dec 2011 75% - 100% 4639347
Mark Joseph Manning Principal and chief compliance officer 1 Jan 2012 75% - 100% 2476784
Charles William Manning Principal 1 Jan 2012 Other 318940

Based in Chadds Ford

The principal office where Ct Financial Advisors, LLC performs its advisory services is located at 330 Kennett Pike, Chadds Ford, PA 19317, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (610) 388-6246 or by fax (484) 775-1385. The normal business hours are 9:00am est to 5:00pm est on Monday - Friday. You can find more information about the New York firm at captrustfa.com/index.html.