RIA Intelligence

RICHARD L. SUMBERG DBA THE FINANCIAL ADVISORS

Legal name: THE FINANCIAL ADVISORS

CRD #128691 SEC #801-63045 ANDOVER, MA 978-475-3242
SEC Registered
Total AUM
$80.4M
Discretionary
$0
Employees
10
Clients
101
Accounts
212

Firm Details

Organization Type
Limited Liability Company
State of Formation
--
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
May 10, 2004
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
SUMBERG, RICHARD, LOUISIOWNER, CHIEF COMPLIANCE OFFICERE Control
SUMBERG, RICHARD, LOUISIOWNER, CHIEF COMPLIANCE OFFICERE Control
SUMBERG, RICHARD, LOUISIOWNERE Control
SUMBERG, RICHARD, LOUISIOWNERE Control
SUMBERG, RICHARD, LOUISIOWNERE Control
SUMBERG, RICHARD, LOUISIMANAGING MEMBER, CHIEF COMPLIANCE OFFICERD Control
MILLER, ROBERT, CONOVERIMEMBERC Control
KUMPH, MICHAEL, PAULLIMEMBERA

Registrations

Federal

IA
May 10, 2004 REGISTERED

Notice Filings (4)

FL MA ME NH

Address

15 RAILROAD STREET
ANDOVER, MA 1810
USA
Phone: 978-475-3242