AEM ASSET MANAGEMENT, LLC
Adviser information for AEM ASSET MANAGEMENT, LLC last updated from Form ADV on March 29th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New Jersey, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 45 | $127.9M |
| Non-Discretionary | 0 | $0 |
| Total | 45 | $127.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 22 | $497,424 |
| HNW Individuals | 22 | $114.6M |
| 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 | <5 | $12.8M |
| 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 | 0 |
| 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 | 801-119397 |
|---|---|
| SEC ERA File Number | 801-119397 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 310360 |
| Legal Entity Identifier | None |
Principal Office
265 DAVIDSON AVENUESUITE 210
SOMERSET
NY
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 973-714-6437, Fax: 908-231-6894
Chief Compliance Officer
SUSAN E. DUMONT
6010 LONG CHAMP COURT
#104
AUSTIN
TX
United States
Tel:
917-439-5784
S****@***********M
(Full email address available in API data)
Regulatory Contact
ERIC J. SCHWARTZ
MANAGING MEMBER
265 DAVIDSON AVE
SUITE 210
SOMERSET
NY
United States
Tel:
973-714-6437
E********@**************M
(Full email address available in API data)
Industry Affiliates
| ROSENBERG RICH BAKER BERMAN & COMPANY | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SCHWARTZ, ERIC, JASON | Individual | – | MANAGING MEMBER | 05/2020 | 25-50% |
| ROSENBERG RICH BAKER BERMAN & COMPANY | Domestic Entity | – | OWNER | 05/2020 | 50-75% |
| DUMONT, SUSAN, ELIZABETH | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2020 | < 5% |