Via Global Advisors LLC (Brookline)

Name: Via Global Advisors LLC
Address: 1309 Beacon Street, Brookline, MA, 02446
Telephone: 781-266-6288

Via Global Advisors LLC is a large advisory firm based in Brookline. It manages $335.95 million of regulatory assets for 360 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdictions of Massachusetts and Texas.

Via Global Advisors provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, selection of other advisers, and consulting. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Via Global Advisors: assets under management

The assets under management (AUM) of Via Global Advisors LLC is $335.95 million. The firm's AUM has grown by 3% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $108.18 million in discretionary accounts and $227.77 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $604.36 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.26 million.

Via Global Advisors has custody of $1 million in cash and securities for 8 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 31% of the total AUM. The second-largest asset type is non-exchange traded securities, which make up 22% of the firm’s portfolio. Investments in cash and cash equivalents form 22% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Via Global Advisors LLC for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Via Global Advisors serves?

The firm provides services to individuals, charitable organizations, and high net worth individuals. The largest group of clients of Via Global Advisors is high net worth individuals with 16 clients and $285.62 million of assets under management. Among the 11 most similar advisory firms, Via Global Advisors has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $335.95 million for 29 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.

Via Global Advisors doesn't advise any private funds.

Careers at Via Global Advisors LLC

The company employs 5 people that are either part- or full-time employees. 60 percent of the employees work as investment advisers or researchers. 3 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
Kimberly Rector Clouse	Founder, ceo	1 Mar 2013	75% - 100%	2346017
Harvey Alan Slaughter	Chief compliance officer	1 Jan 2017	Other	6338982

Based in Brookline

The principal office where Via Global Advisors LLC performs its advisory services is located at 1309 Beacon Street, Brookline, MA 02446, 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 781-266-6288. The normal business hours are by appointment only on Monday - Friday. You can find more information about the New York firm at viaglobaladvisors.com/.