Pcm Advisory LLC (Dallas)

Pcm Advisory LLC is a related adviser based in Dallas. It manages $30.63 million of regulatory assets for 1,544 client accounts. It has been registered with the SEC as an adviser since 2015 and has operated in the jurisdictions of Alabama, Arizona, California, and 12 other states.

Pcm Advisory provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, 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.

Pcm Advisory: assets under management

The assets under management (AUM) of Pcm Advisory LLC is $30.63 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -88% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $30.63 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $19.84 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 96% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 4% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Pcm Advisory LLC 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 Pcm Advisory serves?

The firm provides services to individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Pcm Advisory is individuals with 1,502 clients and $28.66 million of assets under management. Among the 1 most similar advisory firms, Pcm Advisory has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $30.63 million for 1,544 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.

Pcm Advisory doesn't advise any private funds.

Careers at Pcm Advisory LLC

The company employs 35 people that are either part- or full-time employees. 66 percent of the employees work as investment advisers or researchers. 23 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
Ryan Joseph Borer	Chief compliance officer	1 Nov 2014	Other	4336934
Llc Coppell Advisory Solutions	Managing member	1 Nov 2014	75% - 100%	156549
John Scott Johnson	Chief compliance officer	1 Jun 2015	Other	2125760
Jonathan Joshua Cravens	Chief compliance officer	1 Sep 2017	Other	4274980

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Scott Darryl Tietz	Manager and ceo	1 Apr 2003	50% - 75%	1230020
Anthony Francis Apollaro	Managing member	1 Oct 2006	75% - 100%	2524799
Ryan Joseph Borer	Managing member/chief operating officer/chief compliance officer	1 Feb 2011	Other	4336934
Llc Apollaro Investments	Member	1 Aug 2012	25% - 50%	20-5763039
Partners Advantage Insurance Services Llc	Member	1 Aug 2012	50% - 75%	71-0941992

Based in Dallas

The principal office where Pcm Advisory LLC performs its advisory services is located at 9111 Cypress Waters Blvd Suite 140, Dallas, TX 75019, which is also the mailing address of the firm. An additional office of the firm is in Sidney, OH. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (866) 254-4235 or by fax (941) 761-6230. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday.