Taddei, Ludwig & Associates, Inc. (San Rafael)

Name: Taddei, Ludwig & Associates, Inc.
Address: 999 Fifth Ave., Suite 300, San Rafael, CA, 94901
Telephone: 415-482-1561

Taddei, Ludwig & Associates, Inc. is a large advisory firm based in San Rafael. It manages $308.94 million of regulatory assets for 338 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of California, Florida, New Hampshire, and Oregon.

Taddei, Ludwig & Associates provides financial planning services, portfolio management for individuals and small businesses, pension consulting services, and educational seminars and workshops. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Taddei, Ludwig & Associates: assets under management

The assets under management (AUM) of Taddei, Ludwig & Associates, Inc. is $308.94 million. The firm's AUM has grown by 99% since the beginning of its operation, and $1.01 million of the total AUM is attributable to clients outside of the United States.

The firm manages $295.79 million in discretionary accounts and $13.15 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $888.26 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $2.63 million.

Taddei, Ludwig & Associates has custody of $149.81 million in cash and securities for 228 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 79% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 14% of the firm’s portfolio. Investments in exchange traded securities form 7% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Taddei, Ludwig & Associates, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. 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 Taddei, Ludwig & Associates serves?

The firm provides services to individuals, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Taddei, Ludwig & Associates is high net worth individuals with 105 clients and $223.07 million of assets under management. Among the 8 most similar advisory firms, Taddei, Ludwig & Associates has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $308.94 million for 338 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Taddei, Ludwig & Associates doesn't advise any private funds.

Careers at Taddei, Ludwig & Associates, Inc.

The company employs 10 people that are either part- or full-time employees. 60 percent of the employees work as investment advisers or researchers. 6 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
Kirk Martin Ludwig	Cfo, cio	1 Dec 2009	25% - 50%	1453087
Matthew Frank Taddei	President, ceo	1 Dec 2009	25% - 50%	1231923
Diane Marie Mccracken	Secretary, coo, cco	1 Dec 2009	25% - 50%	2530891

Based in San Rafael

The principal office where Taddei, Ludwig & Associates, Inc. performs its advisory services is located at 999 Fifth Ave., Suite 300, San Rafael, CA 94901, 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 415-482-1561 or by fax 415-456-2935. The normal business hours are 8:00 a.m. to 4:00 p.m. on Monday - Friday. You can find more information about the New York firm at tlafinancial.com and its LinkedIn profile.