FINANCIAL ADVISORS, LLC

HTTP://WWW.THE-FINANCIAL-ADVISORS.COM ANDOVER, MA Investment Advisor How do I update this listing?

Financial Advisors is based out of Andover. Financial Advisors is a large advisory firm with 713 clients and discretionary assets under management (AUM) of $573,210,136 (Form ADV from 2019-03-21). Their last reported 13F filing for Q1 2019 included $146,431,000 in managed 13F securities and a top 10 holdings concentration of 83.8%. Financial Advisors's largest holding is iShares Edge MSCI Min Vol USA ETF with shares held of 612,063. Whalewisdom has at least 2 13F filings

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03/31/2019

13F Sector Allocation Over Time

03/31/2019

13F Activity

  • Market Value $146.431 Million
  • Prior Market Value $123.019 Million
  • New Purchases3 stocks
  • Additional Purchases17 stocks
  • Sold out of1 stock
  • Reduced holdings in17 stocks
  • Top 10 Holdings % 83.80 %
  • Turnover % [1]:6.67%
  • Turnover Alt % [2]: 8.29 %
  • Time Held Top20:0.95 quarters
  • Time Held Top10:1.00 quarters
  • Time Held All:0.95 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-05-15

Performance for Q1 2019: 2.41%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

THE FINANCIAL ADVISORS, LLC
26 ESSEX STREET
ANDOVER MA    01810
Country: United States

Business Phone: 978-475-3242
Fax: 888-974-0397
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: MA
Number of employees: 14
Other Business Activities: insurance broker or agent
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 713
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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THE FINANCIAL ADVISORS, LLC

ownership team - last updated 2019-03-21
Name Title Start Date Direct/Indirect % Ownership
SUMBERG, RICHARD, LOUIS CHIEF COMPLIANCE OFFICER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
RICHARD L. SUMBERG DBA THE FINANCIAL ADVISORS OWNER direct 1991-05-01
RICHARD L SUMBERG OWNER, CHIEF COMPLIANCE OFFICER direct 1991-05-01
RICHARD L SUMBERG MANAGING MEMBER, CHIEF COMPLIANCE OFFICER direct 2008-01-01
THE FINANCIAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-01-01
MILLER, ROBERT, CONOVER MEMBER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
RICHARD L SUMBERG MEMBER direct 2008-01-01
THE FINANCIAL ADVISORS, LLC MEMBER direct 2008-01-01
KUMPH, MICHAEL, PAULL MEMBER 01/01/2008 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RICHARD L SUMBERG MEMBER direct 2008-01-01
THE FINANCIAL ADVISORS, LLC MEMBER direct 2008-01-01

THE FINANCIAL ADVISORS, LLC

ownership team - last updated 2017-03-28
Name Title Start Date Direct/Indirect % Ownership
SUMBERG, RICHARD, LOUIS CHIEF COMPLIANCE OFFICER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
RICHARD L. SUMBERG DBA THE FINANCIAL ADVISORS OWNER direct 1991-05-01
RICHARD L SUMBERG OWNER, CHIEF COMPLIANCE OFFICER direct 1991-05-01
RICHARD L SUMBERG MANAGING MEMBER, CHIEF COMPLIANCE OFFICER direct 2008-01-01
THE FINANCIAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2008-01-01
MILLER, ROBERT, CONOVER MEMBER 01/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
RICHARD L SUMBERG MEMBER direct 2008-01-01
THE FINANCIAL ADVISORS, LLC MEMBER direct 2008-01-01
KUMPH, MICHAEL, PAULL MEMBER 01/01/2008 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
RICHARD L SUMBERG MEMBER direct 2008-01-01
THE FINANCIAL ADVISORS, LLC MEMBER direct 2008-01-01

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