Berk Cleveland Rathmell Wealth Strategies, LLC (Vestavia)


Berk Cleveland Rathmell Wealth Strategies, LLC is a large advisory firm based in Vestavia. It manages $236.83 million of regulatory assets for 939 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdictions of Alabama, California, Georgia, and 4 other states.

Berk Cleveland Rathmell Wealth Strategies provides financial planning services, portfolio management for individuals and small businesses, pension consulting services, and selection of other advisers. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

Berk Cleveland Rathmell Wealth Strategies: assets under management

The assets under management (AUM) of Berk Cleveland Rathmell Wealth Strategies, LLC is $236.83 million. The firm's AUM has grown by 98% since the beginning of its operation, and $335.19 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $236.43 million in discretionary accounts and $395.05 thousand in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $252.33 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $197.52 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 95% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 3% of the firm’s portfolio. Investments in exchange traded securities form 1% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Berk Cleveland Rathmell Wealth Strategies, LLC 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 Berk Cleveland Rathmell Wealth Strategies serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Berk Cleveland Rathmell Wealth Strategies is high net worth individuals with 73 clients and $150.03 million of assets under management. Among the 9 most similar advisory firms, Berk Cleveland Rathmell Wealth Strategies has the 4th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $226.72 million for 274 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Berk Cleveland Rathmell Wealth Strategies doesn't advise any private funds.

Careers at Berk Cleveland Rathmell Wealth Strategies, LLC

The company employs 7 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 7 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.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Norman Mark Berk Managing member 1 Mar 2002 Other 2800970
Sandra Mitchell Cleveland Managing member 1 Sep 2011 25% - 50% 4570085
Marshall Peter Rathmell Managing member/chief compliance officer 1 Sep 2011 25% - 50% 5657799
Jay Hallowes Mcgowan Chief compliance officer 1 Aug 2015 Other 6326333
Kristie M Clayton Chief compliance officer 1 Apr 2018 Other 6911658

Based in Vestavia

The principal office where Berk Cleveland Rathmell Wealth Strategies, LLC performs its advisory services is located at 1952 Urban Center Parkway, Vestavia, AL 35242 2594, which is also the mailing address of the firm. An additional office of the firm is in Clifton, NJ. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 205-298-1234 or by fax 205-298-1230. The normal business hours are 8:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at bcrwealth.com.