Fortune Financial Advisors, LLC (Overland Park)


Fortune Financial Advisors, LLC is a large advisory firm based in Overland Park. It manages $127.76 million of regulatory assets for 522 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Florida, Kansas, Missouri, Nebraska, and Texas.

Fortune Financial Advisors provides financial planning services, portfolio management for individuals and small businesses, and pension consulting services. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Fortune Financial Advisors: assets under management

The assets under management (AUM) of Fortune Financial Advisors, LLC is $127.76 million. The firm's AUM has grown by 365% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $104.78 million in discretionary accounts and $22.98 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $206.25 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.64 million.

Investments

The firm invests in exchange traded securities the most. They account for 78% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 11% of the firm’s portfolio. Investments in cash and cash equivalents form 9% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Fortune Financial Advisors, LLC for their services and products based on a percentage of assets under management, hourly charges, 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 Fortune Financial Advisors serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Fortune Financial Advisors is high net worth individuals with 35 clients and $55.2 million of assets under management. Among the 10 most similar advisory firms, Fortune Financial Advisors has the 3rd lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $106.53 million for 207 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.

Fortune Financial Advisors doesn't advise any private funds.

Careers at Fortune Financial Advisors, LLC

The company employs 6 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 5 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
Dennis Leon Wallace Managing member, chief investment officer 1 Nov 2007 75% - 100% 1971959
Lawrence Edward Hamtil Member, assistant portfolio manager 1 Nov 2007 Other 5000996
Roxanna Michelle Noland Member, chief operating officer, chief compliance officer 1 Nov 2007 Other 2807118

Based in Overland Park

The principal office where Fortune Financial Advisors, LLC performs its advisory services is located at 11600 College Blvd, Overland Park, KS 66210, 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 913-393-0038 or by fax 913-239-0317. The normal business hours are 8:30 to 4:00 on Monday - Friday. You can find more information about the New York firm at fortunefinancialadvisors.com.