WEALTHFRONT ADVISERS LLC

https://www.instagram.com/wealthfront/ PALO ALTO, CA Investment Advisor How do I update this listing?

Wealthfront Advisers is based out of Palo Alto. Wealthfront Advisers is a large advisory firm with 247041 clients and discretionary assets under management (AUM) of $13,588,025,994 (Form ADV from 2019-05-01). Their last reported 13F filing for Q1 2020 included $11,009,629,000 in managed 13F securities and a top 10 holdings concentration of 75.19%. Wealthfront Advisers's largest holding is Schwab International Equity ETF-Schwab International Equity ETF with shares held of 62,593,885. Wealthfront Advisers has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 36 13F filings The firm last filed a Form D notice of exempt offering of securities on 2014-11-04. The notice included securities offered of Equity

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Download 13F Summary to Excel Create Email Alert

03/31/2020

13F Sector Allocation Over Time

03/31/2020

13F Activity

  • Market Value $11.01 Billion
  • Prior Market Value $13.485 Billion
  • New Purchases14 stocks
  • Additional Purchases231 stocks
  • Sold out of74 stocks
  • Reduced holdings in187 stocks
  • Top 10 Holdings % 75.19 %
  • Turnover % [1]:20.32%
  • Turnover Alt % [2]: 13.68 %
  • Time Held Top20:18.10 quarters
  • Time Held Top10:16.40 quarters
  • Time Held All:12.20 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 2020-05-15

Performance for Q1 2020: -12.41%
Performance Last 4 Quarters: -6.17%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

WEALTHFRONT ADVISERS LLC
261 HAMILTON AVE.
PALO ALTO CA    94301
Country: United States

Business Phone: 844-995-8437
Fax: 800-366-1679
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 186
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities: 0
Total Number of Clients: 247041
Amount of client funds and securities by related persons: 13,588,000,000
Total Number of clients from related persons: 245508
Disclosures: 11.C (2),11.C (4),11.C (5)
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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Form D Filings

Form D is a form to be used to file a notice of an exempt offering of securities with the Securities and Exchange Commission. Form D contains basic information about the offering and the company.

Form D Filings
Filing Date Form Type Industry Group Securities Offered Total Offering Amount Total Amount Sold Total Remaining
2014-11-04 D OTHER BANKING AND FINANCIAL SERVICES Equity 64,172,931 64,172,931 0
2014-04-04 D OTHER BANKING AND FINANCIAL SERVICES Equity 34,999,969 34,999,969 0
Other Issuers in Filings
Name Address
WEALTHFRONT INC 203 FOREST AVENUE
PALO ALTO, CA 94301
WEALTHFRONT INC 203 FOREST AVENUE
PALO ALTO, CA 94301
Related Parties included in filings
Name Address Relationship
ADAM NASH subscription required
    EXECUTIVE OFFICER DIRECTOR
ANDREW RACHLEFF subscription required
    DIRECTOR
BARRY MCCARTHY subscription required
    DIRECTOR
DANIEL CARROLL subscription required
    EXECUTIVE OFFICER DIRECTOR
JEFF JORDAN subscription required
    DIRECTOR
MIKE VOLPI subscription required
    DIRECTOR
RICK FOREMAN subscription required
    EXECUTIVE OFFICER

WEALTHFRONT ADVISERS LLC

ownership team - last updated 2020-02-28
Name Title Start Date Direct/Indirect % Ownership

WEALTHFRONT ADVISERS LLC

ownership team - last updated 2019-10-30
Name Title Start Date Direct/Indirect % Ownership
MALKIEL, BURTON, GORDON CHIEF INVESTMENT OFFICER 11/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
ALPHASHARES, LLC MANAGER, AND CHIEF INVESTMENT OFFICER direct 2006-10-01
BAOCHUAN CAPITAL MANAGEMENT, LLC MEMBER, MANAGER indirect 2010-12-01
BAOCHUAN CAPITAL MANAGEMENT, LLC CHAIRMAN OF THE BOARD OF DIRECTORS direct 2012-02-01
WEALTHFRONT INC. CHIEF INVESTMENT OFFICER direct 2012-11-01
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA DIRECTOR direct 1978-04-01 2003-04-30
ALPHASHARES, INC. SENIOR ADVISOR direct 2006-10-01 2008-01-02
BAOCHUAN CAPITAL MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2010-12-01 2011-05-06
JOHNSON, ASHLEY, WHITFIELD FIEGLEIN CHIEF EXECUTIVE OFFICER 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTHFRONT INC. CFO direct 2015-06-01
WEALTHFRONT INC. CHIEF FINANCIAL OFFICER & CHIEF OPERATING OFFICER direct 2015-06-01
WFAS LLC CHIEF FINANCIAL OFFICER & CHIEF OPERATING OFFICER direct 2017-06-01
WEALTHFRONT CORPORATION SOLE MEMBER 08/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEALTHFRONT STRATEGIES LLC SOLE MEMBER direct 2017-06-01
WEALTHFRONT ADVISERS LLC SOLE MEMBER direct 2018-08-01
Asante, Emily, Wilson CHIEF COMPLIANCE OFFICER 10/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTHFRONT ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2019-10-01
IMBERMAN, ALAN, DEAN CHIEF FINANCIAL OFFICER 08/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTHFRONT ADVISERS LLC CHIEF FINANCIAL OFFICER direct 2018-08-01
Choe, JoonWon GENERAL COUNSEL 10/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WFAS LLC CHIEF COMPLIANCE OFFICER & SENIOR MANAGING COUNSEL direct 2017-07-01

WEALTHFRONT ADVISERS LLC

ownership team - last updated 2019-08-13
Name Title Start Date Direct/Indirect % Ownership
RACHLEFF, ANDREW, SAMUEL CEO, EXECUTIVE CHAIRMAN, DIRECTOR, INDIRECT SHAREHOLDER 11/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
KACHING GROUP, INC PRESIDENT & CEO, DIRECTOR, SHAREHOLDER (COMMON & PREFERRED) direct 2006-10-01
WEALTHFRONT INC. EXECUTIVE CHAIRMAN, SHAREHOLDER direct 2006-10-01
WEALTHFRONT INC. EXECUTIVE CHAIRMAN, SHAREHOLDER (COMMON & PREFERRED) direct 2006-10-01
WEALTHFRONT INC. CEO & PRESIDENT, EXECUTIVE CHAIRMAN, DIRECTOR, SHAREHOLDER direct 2016-11-01
WEALTHFRONT INC. CEO & PRESIDENT, EXECUTIVE CHAIRMAN, SHAREHOLDER direct 2016-11-01
LEIMAN-CARBIA, JULIUS, RAPHAEL CHIEF COMPLIANCE OFFICER & SECRETARY 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
J.P. MORGAN SECURITIES LLC CHIEF COMPLIANCE OFFICER direct 2013-05-01
CITIGROUP GLOBAL MARKETS INC. CO CHIEF COMPLIANCE OFFICER direct 2008-09-01
J.P. MORGAN CLEARING CORP. CHIEF COMPLIANCE OFFICER direct 2013-05-01
Fortunato, David PRESIDENT AND CHIEF TECHNOLOGY OFFICER 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTHFRONT INC. CHIEF TECHNOLOGY OFFICER direct 2011-12-01
MALKIEL, BURTON, GORDON CHIEF INVESTMENT OFFICER 11/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
ALPHASHARES, LLC MANAGER, AND CHIEF INVESTMENT OFFICER direct 2006-10-01
BAOCHUAN CAPITAL MANAGEMENT, LLC MEMBER, MANAGER indirect 2010-12-01
BAOCHUAN CAPITAL MANAGEMENT, LLC CHAIRMAN OF THE BOARD OF DIRECTORS direct 2012-02-01
WEALTHFRONT INC. CHIEF INVESTMENT OFFICER direct 2012-11-01
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA DIRECTOR direct 1978-04-01 2003-04-30
ALPHASHARES, INC. SENIOR ADVISOR direct 2006-10-01 2008-01-02
BAOCHUAN CAPITAL MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2010-12-01 2011-05-06
JOHNSON, ASHLEY, WHITFIELD FIEGLEIN CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTHFRONT INC. CFO direct 2015-06-01
WEALTHFRONT INC. CHIEF FINANCIAL OFFICER & CHIEF OPERATING OFFICER direct 2015-06-01
WFAS LLC CHIEF FINANCIAL OFFICER & CHIEF OPERATING OFFICER direct 2017-06-01
WEALTHFRONT CORPORATION SOLE MEMBER 08/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEALTHFRONT STRATEGIES LLC SOLE MEMBER direct 2017-06-01
WEALTHFRONT ADVISERS LLC SOLE MEMBER direct 2018-08-01

WEALTHFRONT ADVISERS LLC

ownership team - last updated 2019-01-18
Name Title Start Date Direct/Indirect % Ownership
RACHLEFF, ANDREW, SAMUEL CEO, EXECUTIVE CHAIRMAN, DIRECTOR, INDIRECT SHAREHOLDER 11/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
KACHING GROUP, INC PRESIDENT & CEO, DIRECTOR, SHAREHOLDER (COMMON & PREFERRED) direct 2006-10-01
WEALTHFRONT INC. EXECUTIVE CHAIRMAN, SHAREHOLDER direct 2006-10-01
WEALTHFRONT INC. EXECUTIVE CHAIRMAN, SHAREHOLDER (COMMON & PREFERRED) direct 2006-10-01
WEALTHFRONT INC. CEO & PRESIDENT, EXECUTIVE CHAIRMAN, DIRECTOR, SHAREHOLDER direct 2016-11-01
WEALTHFRONT INC. CEO & PRESIDENT, EXECUTIVE CHAIRMAN, SHAREHOLDER direct 2016-11-01
FORTUNATO, DAVID, KIMBALL CHIEF TECHNOLOGY OFFICER 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTHFRONT INC. CHIEF TECHNOLOGY OFFICER direct 2011-12-01
MALKIEL, BURTON, GORDON CHIEF INVESTMENT OFFICER 11/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
ALPHASHARES, LLC MANAGER, AND CHIEF INVESTMENT OFFICER direct 2006-10-01
BAOCHUAN CAPITAL MANAGEMENT, LLC MEMBER, MANAGER indirect 2010-12-01
BAOCHUAN CAPITAL MANAGEMENT, LLC CHAIRMAN OF THE BOARD OF DIRECTORS direct 2012-02-01
WEALTHFRONT INC. CHIEF INVESTMENT OFFICER direct 2012-11-01
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA DIRECTOR direct 1978-04-01 2003-04-30
ALPHASHARES, INC. SENIOR ADVISOR direct 2006-10-01 2008-01-02
BAOCHUAN CAPITAL MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2010-12-01 2011-05-06
JOHNSON, ASHLEY, WHITFIELD FIEGLEIN CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTHFRONT INC. CFO direct 2015-06-01
WEALTHFRONT INC. CHIEF FINANCIAL OFFICER & CHIEF OPERATING OFFICER direct 2015-06-01
WFAS LLC CHIEF FINANCIAL OFFICER & CHIEF OPERATING OFFICER direct 2017-06-01
LEIMAN-CARBIA, JULIUS, RAPHAEL CHIEF COMPLIANCE OFFICER & SECRETARY 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
J.P. MORGAN SECURITIES LLC CHIEF COMPLIANCE OFFICER direct 2013-05-01
CITIGROUP GLOBAL MARKETS INC. CO CHIEF COMPLIANCE OFFICER direct 2008-09-01
J.P. MORGAN CLEARING CORP. CHIEF COMPLIANCE OFFICER direct 2013-05-01
WEALTHFRONT CORPORATION SOLE MEMBER 08/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEALTHFRONT STRATEGIES LLC SOLE MEMBER direct 2017-06-01
WEALTHFRONT ADVISERS LLC SOLE MEMBER direct 2018-08-01

WEALTHFRONT ADVISERS LLC

ownership team - last updated 2018-10-30
Name Title Start Date Direct/Indirect % Ownership
RACHLEFF, ANDREW, SAMUEL CEO, EXECUTIVE CHAIRMAN, DIRECTOR, INDIRECT SHAREHOLDER 11/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
KACHING GROUP, INC PRESIDENT & CEO, DIRECTOR, SHAREHOLDER (COMMON & PREFERRED) direct 2006-10-01
WEALTHFRONT INC. EXECUTIVE CHAIRMAN, SHAREHOLDER direct 2006-10-01
WEALTHFRONT INC. EXECUTIVE CHAIRMAN, SHAREHOLDER (COMMON & PREFERRED) direct 2006-10-01
WEALTHFRONT INC. CEO & PRESIDENT, EXECUTIVE CHAIRMAN, DIRECTOR, SHAREHOLDER direct 2016-11-01
WEALTHFRONT INC. CEO & PRESIDENT, EXECUTIVE CHAIRMAN, SHAREHOLDER direct 2016-11-01
FORTUNATO, DAVID, KIMBALL CHIEF TECHNOLOGY OFFICER 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTHFRONT INC. CHIEF TECHNOLOGY OFFICER direct 2011-12-01
MALKIEL, BURTON, GORDON CHIEF INVESTMENT OFFICER 11/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
ALPHASHARES, LLC MANAGER, AND CHIEF INVESTMENT OFFICER direct 2006-10-01
BAOCHUAN CAPITAL MANAGEMENT, LLC MEMBER, MANAGER indirect 2010-12-01
BAOCHUAN CAPITAL MANAGEMENT, LLC CHAIRMAN OF THE BOARD OF DIRECTORS direct 2012-02-01
WEALTHFRONT INC. CHIEF INVESTMENT OFFICER direct 2012-11-01
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA DIRECTOR direct 1978-04-01 2003-04-30
ALPHASHARES, INC. SENIOR ADVISOR direct 2006-10-01 2008-01-02
BAOCHUAN CAPITAL MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2010-12-01 2011-05-06
JOHNSON, ASHLEY, WHITFIELD FIEGLEIN CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WEALTHFRONT INC. CFO direct 2015-06-01
WEALTHFRONT INC. CHIEF FINANCIAL OFFICER & CHIEF OPERATING OFFICER direct 2015-06-01
WFAS LLC CHIEF FINANCIAL OFFICER & CHIEF OPERATING OFFICER direct 2017-06-01
LEIMAN-CARBIA, JULIUS, RAPHAEL CHIEF COMPLIANCE OFFICER & SECRETARY 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
J.P. MORGAN SECURITIES LLC CHIEF COMPLIANCE OFFICER direct 2013-05-01
CITIGROUP GLOBAL MARKETS INC. CO CHIEF COMPLIANCE OFFICER direct 2008-09-01
J.P. MORGAN CLEARING CORP. CHIEF COMPLIANCE OFFICER direct 2013-05-01
WEALTHFRONT CORPORATION SOLE MEMBER 08/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
WEALTHFRONT STRATEGIES LLC SOLE MEMBER direct 2017-06-01
WEALTHFRONT ADVISERS LLC SOLE MEMBER direct 2018-08-01
JUREK, JAKUB, WOJCIECH VP OF RESEARCH 04/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WFAS LLC CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2017-06-01

WEALTHFRONT INC.

ownership team - last updated 2018-01-02
Name Title Start Date Direct/Indirect % Ownership

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