FINANCIAL RESOURCES MANAGEMENT, INC.
Adviser information for FINANCIAL RESOURCES MANAGEMENT, INC. last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 56 | $68.0M |
| Total | 56 | $68.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $3.5M |
| HNW Individuals | 11 | $64.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 7 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-108627 |
|---|---|
| SEC ERA File Number | 801-108627 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 132508 |
| Legal Entity Identifier | None |
Principal Office
22 PINEWOOD DRIVECOMMACK
NY
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 631-543-8612, Fax: 631-543-3463
Chief Compliance Officer
HOWARD WISEMAN
PRESIDENT & CCO
22 PINEWOOD DR.
COMMACK
NY
United States
Tel:
631-543-8612
H************@******M
(Full email address available in API data)
Regulatory Contact
HOWARD WISEMAN
PRESIDENT
22 PINEWOOD DRIVE
COMMACK
NY
United States
Tel:
631-543-8612
H************@******M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WISEMAN, HOWARD | Individual | – | PRESIDENT, CCO, OWNER | 06/2002 | > 75% |