Kathleen Day & Associates, Inc. (Miami)

Name: Kathleen Day & Associates, Inc.
Address: 7355 Sw 87 Th Ave, Miami, FL, 33173
Telephone: (305)274-1600

Kathleen Day & Associates, Inc. is a large advisory firm based in Miami. It manages $198.28 million of regulatory assets for 247 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Florida, Georgia, North Carolina, and Texas.

Kathleen Day & Associates 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 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Kathleen Day & Associates: assets under management

The assets under management (AUM) of Kathleen Day & Associates, Inc. is $198.28 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 24% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $198.28 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $802.75 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Kathleen Day & Associates, Inc. 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.

Careers at Kathleen Day & Associates, Inc.

Kathleen Patricia Day has been acting as President since 1 Jan 1987. Mitchell Evan Marenus has served as the Chief Investment Officer since 1 Jan 2000. Carol Ann Harlow joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Kathleen Patricia Day	President	1 Jan 1987	Other	1590407
Bryan Patrick Day	Chief operating officer	1 Dec 1992	Other	2349374
Randolph Edward Lee	Chief financial officer	1 Jan 1997	Other	2191176
Mitchell Evan Marenus	Chief investment officer	1 Jan 2000	Other	2563480
Inc Enrichment Group	Shareholder	1 Jan 2001	75% - 100%	65-1061785
Inc The Enrichment Group	Shareholder	1 Jan 2001	75% - 100%	65-1061785
Ellen Rena Siegel	Executive officer	1 Jan 2002	Other	1004138
Mitchell Evan Marenus	Chief financial officer	1 Mar 2004	Other	2563480
Carol Ann Harlow	Chief compliance officer	1 Apr 2004	Other	3170071
Mitchell Evan Marenus	Partner	1 Apr 2004	Other	2563480
Randolph Edward Lee	Partner	1 Jul 2004	Other	2191176
Lucia Mercedes Tamajon	Chief compliance officer	1 Jan 2007	Other	2549839
Carol Ann Harlow	Chief compliance officer	1 Apr 2008	Other	3170071

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Kathleen Patricia Day	Shareholder	1 Jan 2001	50% - 75%	1590407
Bryan Patrick Day	Shareholder	1 Jan 2001	25% - 50%	2349374
Mitchell Evan Marenus	Shareholder	1 Jan 2001	Other	2563480
Randolph Edward Lee	Shareholder	1 Jan 2001	Other	2191176

Based in Miami

The principal office where Kathleen Day & Associates, Inc. performs its advisory services is located at 7355 Sw 87 Th Ave, Miami, FL 33173, 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 (305)274-1600 or by fax (305)274-5002. The normal business hours are 9am to 5pm on Monday - Friday. You can find more information about the New York firm at www.theenrichmentgroup.com.