Cauble & Harre Wealth Management, Inc. (St. Louis)

Name: Cauble & Harre Wealth Management, Inc.
Address: 12977 North 40 Drive, St. Louis, MO, 63141
Telephone: 314-576-1112

Cauble & Harre Wealth Management, Inc. is a large advisory firm based in St. Louis. It manages $201.21 million of regulatory assets for 358 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdictions of Florida, Illinois, Louisiana, and 3 other states.

Cauble & Harre Wealth Management provides financial planning services, portfolio management for individuals and small businesses, and portfolio management for businesses and institutional clients. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Cauble & Harre Wealth Management: assets under management

The assets under management (AUM) of Cauble & Harre Wealth Management, Inc. is $201.21 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 349% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $201.21 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $562.04 thousand each.

Cauble & Harre Wealth Management has custody of $15.86 million in cash and securities for 15 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 59% of the total AUM. The second-largest asset type is exchange traded securities, which make up 22% of the firm’s portfolio. Investments in cash and cash equivalents form 8% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Cauble & Harre Wealth Management, Inc. for their services and products based on a percentage of assets under management, hourly charges, 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 Cauble & Harre Wealth Management serves?

The firm provides services to individuals, high net worth individuals, and corporations or other businesses. The largest group of clients of Cauble & Harre Wealth Management is high net worth individuals with 59 clients and $175.5 million of assets under management. Among the 12 most similar advisory firms, Cauble & Harre Wealth Management has the 3rd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $201.21 million for 120 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.

Cauble & Harre Wealth Management doesn't advise any private funds.

Careers at Cauble & Harre Wealth Management, Inc.

The company employs 3 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person 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
Elizabeth Harre Cauble	Principal & president	1 Apr 2007	50% - 75%	5324493
Peter Beyerstedt Harre	Principal, chief investment officer & chief compliance officer	1 Apr 2007	50% - 75%	2271783

Based in St. Louis

The principal office where Cauble & Harre Wealth Management, Inc. performs its advisory services is located at 12977 North 40 Drive, St. Louis, MO 63141, 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 314-576-1112 or by fax 314-576-1113. The normal business hours are 9am to 5pm on Monday - Friday. You can find more information about the New York firm at caubleharre.com.