NESTLERODE & LOY, INC.
Adviser information for NESTLERODE & LOY, INC. last updated from Form ADV on January 11th, 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 | SEPTEMBER |
| Legal Location | Pennsylvania, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 562 | $155.2M |
| Non-Discretionary | 0 | $0 |
| Total | 562 | $155.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 217 | $64.5M |
| HNW Individuals | 31 | $78.8M |
| 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 | 9 | $11.7M |
| State or municipal gov entities | <5 | $154,389 |
| 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 | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPublication of periodicals or newsletters |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Principal Office
110 REGENT COURT, SUITE 202STATE COLLEGE
PA
United States
Monday - Friday, 9 AM TO 5 PM (FRIDAY 9 AM TO 4 PM)
Tel: 814-238-6249, Fax: 814-234-2432
Chief Compliance Officer
JODY SHARER
CCO
110 REGENT COURT, SUITE 202
STATE COLLEGE
PA
United States
Tel:
814-238-6249
Fax:
814-234-2432
J******@*************M
(Full email address available in API data)
Regulatory Contact
JUDY L. LOY
CEO
110 REGENT COURT, SUITE 202
STATE COLLEGE
PA
United States
Tel:
814-238-6249
Fax:
814-234-2432
J***@*************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 |
|---|---|---|---|---|---|
| NESTLERODE, DANIEL JARED | Individual | – | OWNER | 09/1965 | 10-25% |
| LOY, JUDY LYNNE | Individual | – | CEO | 07/1996 | > 75% |
| SHARER, JODY MARIE | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2009 | < 5% |
| ANDERSON, BRIAN LEE | Individual | – | CFO | 01/2010 | < 5% |
| LOY, STEPHEN ALLAN | Individual | – | DIRECTOR | 12/2021 | < 5% |