Chartist Inc is a large advisory firm based in Los Alamitos. It manages $219.88 million of regulatory assets for 715 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, Florida, Massachusetts, and 4 other states.
Chartist provides portfolio management for individuals and small businesses and publication of newsletters. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of Chartist Inc is $219.88 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -10% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.
The advisory firm has several streams of revenue. Clients pay Chartist Inc for their services and products based on a percentage of assets under management and subscription fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
The only and largest group of clients of Daniel Francis Sullivan is individuals with 715 clients and $219.88 million of assets under management. Among the 6 most similar advisory firms, Chartist has the highest percentage of individuals out of all clients.
The amount of regulatory assets under management is $219.88 million for 715 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.
Chartist doesn't advise any private funds.
The company employs 4 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 4 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.
Daniel Francis Sullivan has been acting as President since 1 Nov 1975. Steven Gerard Mais joined the executive team most recently as the Executive Vice President/Chief Compliance Officer.
The principal office where Chartist Inc performs its advisory services is located at 5122 Katella Ave. #200, Los Alamitos, CA 90740 The mailing address of the firm is P.O. Box 758, Seal Beach, CA 90740. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 562-596-2385 or by fax 562-596-1280. The normal business hours are 8:00am to 3:00pm on Monday - Friday. You can find more information about the New York firm at thechartist.com.