Coordinated Capital Securities, Inc. (Madison)

Name: Coordinated Capital Securities, Inc.
Address: 704 Riverplace Commerce Center Iii, Madison, WI, 53716
Telephone: 608-221-4545

Coordinated Capital Securities, Inc. is a large advisory firm based in Madison. It manages $152.81 million of regulatory assets for 350 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdictions of Arizona, California, Florida, and 6 other states.

Coordinated Capital Securities provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, and selection of other advisers. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Coordinated Capital Securities: assets under management

The assets under management (AUM) of Coordinated Capital Securities, Inc. is $152.81 million. The firm's AUM has grown by 34% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $111.54 million in discretionary accounts and $41.27 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $480.76 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $349.77 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 49% of the total AUM. The second-largest asset type is investment and business development companies, which make up 44% of the firm’s portfolio. Investments in cash and cash equivalents form 5% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Coordinated Capital Securities, Inc. for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Coordinated Capital Securities serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Coordinated Capital Securities is individuals with 311 clients and $72.68 million of assets under management. Among the 7 most similar advisory firms, Coordinated Capital Securities has the 3rd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $143.16 million for 347 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.

Coordinated Capital Securities doesn't advise any private funds.

Careers at Coordinated Capital Securities, Inc.

The company employs 61 people that are either part- or full-time employees. 28 percent of the employees work as investment advisers or researchers. 32 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
Donna Jean Peters	Director, executive vice president	1 Jan 1985	Other	1191243
Inc. Coordinated Capital Holdings	Holding company	1 Nov 1992	75% - 100%	39-1733976
Mari Jo Buechner	Chief executive officer, president & chief compliance officer	1 Mar 2002	Other	1867710
Tracy Naioma Williams	Vice president	1 Apr 2014	Other	4533496

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Mari Jo Buechner	Owner of holding company	1 Jun 2007	75% - 100%	1867710

Based in Madison

The principal office where Coordinated Capital Securities, Inc. performs its advisory services is located at 704 Riverplace Commerce Center Iii, Madison, WI 53716, which is also the mailing address of the firm. An additional office of the firm is in Kenosha, WI. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 608-221-4545 or by fax 608-221-3015. The normal business hours are 9:00am - 4:00pm on Monday - Friday. You can find more information about the New York firm at ccsmadison.com.