CIRCLE ADVISERS INC
Adviser information for CIRCLE ADVISERS INC last updated from Form ADV on January 2nd, 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 | Delaware, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 8 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 10,777 | $674.9M |
| Total | 10,777 | $674.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 354 | $668.6M |
| 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 | 6 | $6.3M |
| 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 | 50 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-18150 |
|---|---|
| SEC ERA File Number | 801-18150 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110818 |
| Legal Entity Identifier | None |
Principal Office
420 LEXINGTON AVENUESUITE 2500
NEW YORK
NY
United States
Monday - Friday, 9AM TO 5PM
Tel: 212-885-4200, Fax: 212-885-4231
Chief Compliance Officer
ERIC BLOCK
CHIEF COMPLIANCE OFFICER
420 LEXINGTON AVENUE
SUITE 2500
NEW YORK
NY
United States
Tel:
(212) 885-4224
Fax:
(212) 885-4231
E***@********************M
(Full email address available in API data)
Regulatory Contact
THOMAS MARTIN
PRESIDENT
420 LEXINGTON AVENUE
SUITE 2500
NEW YORK
NY
United States
Tel:
(212) 885-4201
Fax:
(212) 885-4231
T**@********************M
(Full email address available in API data)
Industry Affiliates
| LIFE AND DISABILITY INSURANCE SALES | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MARTIN, THOMAS, BAXTER | Individual | CIRCLE CONSULTING GROUP, INC. | 70% OWNER | 10/2004 | 50-75% |
| CIRCLE CONSULTING GROUP, INC. | Domestic Entity | – | OWNER | 11/1983 | > 75% |
| MARTIN, THOMAS, BAXTER | Individual | – | PRESIDENT AND TREASURER | 10/1981 | < 5% |
| BLOCK, ERIC, SCOTT | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2004 | < 5% |
| MARTIN, CHARLES, SURIN | Individual | – | SECRETARY | 10/2016 | < 5% |
| MARTIN, CHARLES, SURIN | Individual | CIRCLE CONSULTING GROUP, INC. | 30% OWNER | 07/2017 | 25-50% |