COLLEY ASSET MANAGEMENT, INC.
Adviser information for COLLEY ASSET MANAGEMENT, INC. 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 465 | $252.6M |
| Non-Discretionary | 0 | $0 |
| Total | 465 | $252.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 268 | $51.8M |
| HNW Individuals | 166 | $114.2M |
| 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 | 8 | $8.4M |
| State or municipal gov entities | 4 | $23.3M |
| 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 | 19 | $55.0M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-48611 |
|---|---|
| SEC ERA File Number | 801-48611 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 111837 |
| Legal Entity Identifier | None |
Principal Office
358 BROADWAY SUITE 204SARATOGA SPRINGS
NY
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 518-581-0500, Fax: 518-581-0525
Websites
Chief Compliance Officer
JOHN E. COLLEY
PRESIDENT, CEO
358 BROADWAY, SUITE 204
SARATOGA SPRINGS
NY
United States
Tel:
518-581-0500
Fax:
518-581-0525
J***@**********T
(Full email address available in API data)
Regulatory Contact
MICHELLE MARINELLO
PARTNER
WHITEMAN OSTERMAN & HANNA, LLP
ONE COMMERCE PLAZA
ALBANY
NY
United States
Tel:
518-487-7600
Fax:
518-487-7777
M*********@******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 |
|---|---|---|---|---|---|
| COLLEY, JOHN, EARL | Individual | – | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND CHIEF COMPLIANCE OFFICER | 03/1994 | > 75% |