Yellowbrickroad Financial Advisors, LLC (Corte Madera)

Name: Yellowbrickroad Financial Advisors, LLC
Address: 770 Tamalpais Drive, Corte Madera, CA, 94925
Telephone: 415-346-2221

Yellowbrickroad Financial Advisors, LLC is a large advisory firm based in Corte Madera. It manages $265.9 million of regulatory assets for 1,091 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdictions of Arizona, California, Colorado, and 9 other states.

Yellowbrickroad Financial Advisors provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Yellowbrickroad Financial Advisors: assets under management

The assets under management (AUM) of Yellowbrickroad Financial Advisors, LLC is $265.9 million. The firm's AUM has grown by 34% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $265.06 million in discretionary accounts and $837.22 thousand in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $243.18 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $837.22 thousand.

Yellowbrickroad Financial Advisors has custody of $66.23 million in cash and securities for 93 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 68% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 21% of the firm’s portfolio. Investments in pooled investment vehicles form 6% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Yellowbrickroad Financial Advisors, LLC for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Yellowbrickroad Financial Advisors serves?

The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Yellowbrickroad Financial Advisors is high net worth individuals with 79 clients and $203.54 million of assets under management. Among the 8 most similar advisory firms, Yellowbrickroad Financial Advisors has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $265.9 million for 251 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.

Yellowbrickroad Financial Advisors doesn't advise any private funds.

Careers at Yellowbrickroad Financial Advisors, LLC

The company employs 8 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. 2 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
John Stephen Ohmer	Sole and managing member	1 Jun 2003	75% - 100%	1714852
Christopher Houston Hale	Chief compliance officer	1 Jul 2011	Other	4846742
Ken Wesley Miller	General manager and chief compliance officer	1 Jan 2013	Other	6155563
Carol Ann Semetulskis	Chief compliance officer	1 Mar 2016	Other	4687667
Carol Ann Semetulskis	Chief compliance officer	1 Apr 2016	Other	4687667

Based in Corte Madera

The principal office where Yellowbrickroad Financial Advisors, LLC performs its advisory services is located at 770 Tamalpais Drive, Corte Madera, CA 94925, 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 415-346-2221 or by fax 415-775-3239. The normal business hours are 8:30 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at ybrfinancialadvisors.com.