Global View Capital Management, Ltd (Waukesha)

Name: Global View Capital Management, Ltd
Address: N14 W23833 Stone Ridge Dr Suite 350, Waukesha, WI, 53188
Telephone: 262-650-1030

Global View Capital Management, Ltd is a large advisory firm based in Waukesha. It manages $438.56 million of regulatory assets for 7,001 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdictions of Alaska, Arizona, Arkansas, and 31 other states.

Global View Capital Management provides financial planning services, portfolio management for individuals and small businesses, selection of other advisers, and sub-adviser to other advisers & advice to participants of 401(k), 403b, 457 and simple retirement plans. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Global View Capital Management: assets under management

The assets under management (AUM) of Global View Capital Management, Ltd is $438.56 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 351% since the beginning of its operation, and $15.27 million of the total AUM is attributable to clients outside of the United States.

The firm manages $438.56 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $62.64 thousand each.

Investments

The firm invests in investment and business development companies the most. They account for 86% of the total AUM. The second-largest asset type is exchange traded securities, which make up 8% of the firm’s portfolio. Investments in cash and cash equivalents form 5% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Global View Capital Management, Ltd for their services and products based on a percentage of assets under management and fixed 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.

What kind of clients Dina Louise Fliss serves?

The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Dina Louise Fliss is individuals with 6,958 clients and $404.34 million of assets under management. Among the 12 most similar advisory firms, Global View Capital Management has the 2nd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $438.56 million for 7,001 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.

Global View Capital Management doesn't advise any private funds.

Careers at Global View Capital Management, Ltd

The company employs 136 people that are either part- or full-time employees. 79 percent of the employees work as investment advisers or researchers. 111 employees are registered as investment adviser representatives with the state securities authorities.

There are 3 people 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.

Dina Louise Fliss has been acting as President since 1 Feb 2011. James Francis Wawrzyniakowski Jr. joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Dina Louise Fliss	President	1 Feb 2011	Other	1358397
Ltd Global View Capital Holdings	Owner	1 Feb 2011	75% - 100%	27-5488293
James Francis Wawrzyniakowski Jr.	Chief compliance officer	1 Mar 2012	Other	4061554
Dina Louise Fliss	Chief compliance officer	1 Jun 2016	Other	1358397

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Dean Michael Fliss	Shareholder	1 Feb 2011	50% - 75%	1490307

Based in Waukesha

The principal office where Global View Capital Management, Ltd performs its advisory services is located at N14 W23833 Stone Ridge Dr Suite 350, Waukesha, WI 53188, which is also the mailing address of the firm. An additional office of the firm is in Safford, AZ. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 262-650-1030 or by fax 262-650-1085. The normal business hours are 9am - 5pm cst on Monday - Friday. You can find more information about the New York firm at gvcmanagement.com.