LIPPER ADVISORY SERVICES INC
Adviser information for LIPPER ADVISORY SERVICES 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 Jersey, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 25 | $129.2M |
| Non-Discretionary | 0 | $0 |
| Total | 25 | $129.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 11 | $1.9M |
| HNW Individuals | 4 | $55.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $41.9M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 1 | $2.0M |
| 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 | 4 | $28.1M |
| 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 pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed feesPRE-AUTHORIZED EXPENSE REIMBUSEMENT AND RETAINER |
Identifiers
| SEC RIA File Number | 801-39851 |
|---|---|
| SEC ERA File Number | 801-39851 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107283 |
| Legal Entity Identifier | None |
Principal Office
85 HOBART AVENUESUMMIT
NJ
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: (908) 273-2454, Fax: (908) 273-8231
Websites
Chief Compliance Officer
ZACHARY MAX KAPLAN
CHIEF COMPLIANCE OFFICER
135 NW 100TH AVE
PLANTATION
FL
United States
Tel:
908-273-2454
Z******@*****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| LSF PARTNERS, LP | Hedge Fund | $41.9M | $1.0M | 20 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LIPPER, A, MICHAEL | Individual | – | PRESIDENT/SOLE DIRECTOR | 12/1981 | > 75% |
| PHILLIPS-PAGE, HYLTON, HUDSON | Individual | – | VICE PRESIDENT | 03/2015 | < 5% |
| Kaplan, Zachary, Max | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2022 | < 5% |