SUREVEST, LLC

https://www.linkedin.com/company/surevest-wealth-management/ PHOENIX, AZ Investment Advisor How do I update this listing?

Surevest is based out of Phoenix. Surevest is a large advisory firm with 276 clients and discretionary assets under management (AUM) of $355,728,023 (Form ADV from 2020-07-30). Their last reported 13F filing for Q2 2020 included $225,998,000 in managed 13F securities and a top 10 holdings concentration of 27.1%. Surevest's largest holding is Vanguard Total Bond Market Indx Fund ETF with shares held of 162,282. Whalewisdom has at least 7 13F filings

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06/30/2020

13F Activity

  • Market Value $225.998 Million
  • Prior Market Value $183.745 Million
  • New Purchases6 stocks
  • Additional Purchases60 stocks
  • Sold out of22 stocks
  • Reduced holdings in11 stocks
  • Top 10 Holdings % 27.10 %
  • Turnover % [1]:35.00%
  • Turnover Alt % [2]: 12.55 %
  • Time Held Top20:0.90 quarters
  • Time Held Top10:0.60 quarters
  • Time Held All:4.73 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 21.98%
Performance Last 4 Quarters: -5.38%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

SUREVEST PRIVATE WEALTH
2425 E. CAMELBACK ROAD STE 890
PHOENIX AZ    85016
Country: United States

Business Phone: 480-272-7116
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 8
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 276
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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SUREVEST, LLC

ownership team - last updated 2020-05-08
Name Title Start Date Direct/Indirect % Ownership
LUNA, ROBERT, J CHIEF COMPLIANCE OFFICER 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUREVEST INC. CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, AND CCO direct 2002-01-01
CI US HOLDINGS, INC. OWNER & MANAGING MEMBER 12/01/2019 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
SUREVEST, LLC OWNER & MANAGING MEMBER direct 2019-12-01
ONE CAPITAL MANAGEMENT, LLC OWNER indirect 2020-05-01
LUNA CAPITAL PARTNERS, INC. OWNER & MEMBER 01/01/2020 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUREVEST, LLC OWNER & MEMBER direct 2020-01-01
Galdamez, Luis, A MANAGING DIRECTOR - INVESTMENTS & MEMBER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUREVEST, LLC MANAGING DIRECTOR - INVESTMENTS & MEMBER direct 2020-01-01
KISNER, JEREMY, A DIRECTOR OF FINANCIAL PLANNING & MEMBER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
SUREVEST, LLC DIRECTOR OF FINANCIAL PLANNING & MEMBER direct 2020-01-01
CI FINANCIAL CORP. PARENT COMPANY OF CI US HOLDINGS, INC. CI US HOLDINGS, INC. 12/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SUREVEST, LLC OWNER direct 2019-12-01
SUREVEST, LLC PARENT COMPANY OF CI US HOLDINGS, INC. indirect 2019-12-01
LUNA, ROBERT, J OWNER & CEO LUNA CAPITAL PARTNERS, INC. 01/01/2020 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SUREVEST INC. CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, AND CCO direct 2002-01-01

SUREVEST, LLC

ownership team - last updated 2020-02-04
Name Title Start Date Direct/Indirect % Ownership

SUREVEST INC.

ownership team - last updated 2020-01-24
Name Title Start Date Direct/Indirect % Ownership

SUREVEST, LLC

ownership team - last updated 2019-12-12
Name Title Start Date Direct/Indirect % Ownership
LUNA, ROBERT, J MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER 12/01/2019 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SUREVEST INC. CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, AND CCO direct 2002-01-01
CI US HOLDINGS, INC. OWNER 12/01/2019 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
SUREVEST, LLC OWNER direct 2019-12-01
SUREVEST, LLC PARENT COMPANY OF CI US HOLDINGS, INC. indirect 2019-12-01
CI FINANCIAL CORP. PARENT COMPANY OF CI US HOLDINGS, INC. CI US HOLDINGS, INC. 12/01/2019 Indirect 75% or more
Fund Name Position direct/indirect start date end date
SUREVEST, LLC OWNER direct 2019-12-01
SUREVEST, LLC PARENT COMPANY OF CI US HOLDINGS, INC. indirect 2019-12-01

SUREVEST INC.

ownership team - last updated 2019-11-25
Name Title Start Date Direct/Indirect % Ownership
LUNA, ROBERT, J CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, AND CCO 01/01/2002 Direct 75% or more
Fund Name Position direct/indirect start date end date
SUREVEST INC. CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, AND CCO direct 2002-01-01

SUREVEST INC.

ownership team - last updated 2019-05-17
Name Title Start Date Direct/Indirect % Ownership
LUNA, ROBERT, J CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, AND CCO 01/01/2002 Direct 75% or more
Fund Name Position direct/indirect start date end date
SUREVEST INC. CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, AND CCO direct 2002-01-01

SUREVEST INC.

ownership team - last updated 2019-01-22
Name Title Start Date Direct/Indirect % Ownership
LUNA, ROBERT, J CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, AND CCO 01/01/2002 Direct 75% or more
Fund Name Position direct/indirect start date end date
SUREVEST INC. CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, AND CCO direct 2002-01-01

SUREVEST INC.

ownership team - last updated 2018-05-24
Name Title Start Date Direct/Indirect % Ownership
LUNA, ROBERT, J CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, AND CCO 01/01/2002 Direct 75% or more
Fund Name Position direct/indirect start date end date
SUREVEST INC. CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, AND CCO direct 2002-01-01

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