COLLABORATIVE WEALTH

RIASEC RegisteredEst. 2014
Total AUM
$653M
Discretionary
$594M
91% of AUM
Avg account
$335K
Accounts
1,948
Employees
13
Advisory reps
13

Firm details

Headquarters
LAKE MARY, Florida
CRD number
142106
Registered since
August 6, 2014
Website
collaborativewealth.com
Custodians
LPL FINANCIAL LLC, SEI INVESTMENTS DISTRIBUTION CO., CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI51.6%
  • Individuals37.31%
  • Pension & Profit Sharing Plans8.89%
  • Corporations / Businesses2.02%
  • Charitable Organizations0.19%
Services
Financial PlanningPortfolio Management for IndividualsSelection of Other Advisers

Firm profile

FINTRX

Overview

Collaborative Wealth is an independent, SEC-registered RIA (registered in 2014) organized as a corporation and owned by an individual. The firm acts as a capital allocator and serves both individual/family and institutional clients. Its advisory services emphasize financial planning, portfolio management for individuals and small businesses, and the selection of third‑party advisers. Fee arrangements include percentage of AUM, hourly charges, and fixed fees. Collaborative Wealth is not identified as an active ESG investor and does not present itself as a multi-state adviser or pension consultant.

Assets & Accounts

Public Holdings

Investments & Alternatives

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 72%, Exchange Traded Equities 13%, Cash & Cash Equivalents 5%, Investment Grade Corp Bonds 3%, Other 3%, US Government Bonds 2%, State & Local Bonds 1%, Private Funds 1%72%
  • Public Funds/Mutual Funds72%
  • Exchange Traded Equities13%
  • Cash & Cash Equivalents5%
  • Investment Grade Corp Bonds3%
  • Other3%

Owners & executives

2 of 2

  • CHAD JUSTICE

    President and CEOCRD 4788183

  • SANDRA STICKNEY

    Chief Compliance OfficerCRD 4512798

Contacts

3 of 11

  • SHAWN SMITH

    Wealth AdvisorCRD 6183746

  • Jaren Holmes

    Compliance AssociateCRD 6383208

  • RANDALL REED

    Investment Advisor RepresentativeCRD 3152155

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 183

Active vs passive

$296M in ETFs

Passive

77%

$228M

Active

22%

$68.7M

ETFProviderStyleCategoryValueShares% of portfolio
INNOVATOR LADDERED ALLOCATION POWER BUFFER ETF (BUFF)InnovatorPassiveOptions Trading$18.6M376,7676.28%
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Location

Primary office

LAKE MARY, FL

SEMINOLE

Location

LAKE MARY, FL

Headquartered in LAKE MARY, FL, anchoring the Orlando-Lakeland-Deltona, FL metro in the South.

Metro area
Orlando-Lakeland-Deltona, FL
Region
South
County
SEMINOLE
Address
972 International Pkwy
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth