ASSABET ADVISORS, LLC
Adviser information for ASSABET ADVISORS, LLC last updated from Form ADV on February 22nd, 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 | Delaware, 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 | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 188 | $137.3M |
| Non-Discretionary | 2 | $2.6M |
| Total | 190 | $139.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 21 | $8.6M |
| HNW Individuals | 32 | $123.8M |
| 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 | <5 | $2.6M |
| Charitable organizations | <5 | $4.9M |
| 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 | <5 | $62,681 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-120592 |
|---|---|
| SEC ERA File Number | 801-120592 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 127795 |
| Legal Entity Identifier | None |
Principal Office
1087 MAIN STREETHOLDEN
MA
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: (508) 351-9666, Fax: (508) 351-9689
Chief Compliance Officer
ROBERT E. JACOBSEN
DIRECTOR
1087 MAIN STREET
HOLDEN
MA
United States
Tel:
(508) 351-9666
Fax:
(508) 351-9689
R********@******************M
(Full email address available in API data)
Regulatory Contact
WAYNE M. USHMAN
OWNER AND MANAGING DIRECTOR
1087 MAIN STREET
HOLDEN
MA
United States
Tel:
(508) 351-9666
W******@******************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 |
|---|---|---|---|---|---|
| USHMAN, WAYNE, MARTIN | Individual | – | MANAGING DIRECTOR | 07/2003 | > 75% |
| JACOBSEN, ROBERT, EDWARD | Individual | – | DIRECTOR AND CHIEF COMPLIANCE OFFICER | 01/2015 | < 5% |