CAROSA, STANTON & DEPAOLO ASSET MANAGEMENT, LLC
CAROSA STANTON ASSET MANAGEMENT, LLC Legal Name
Adviser information for CAROSA, STANTON & DEPAOLO 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 York, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 24 | $41.5M |
| Non-Discretionary | 0 | $0 |
| Total | 24 | $41.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 22 | $27.0M |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $14.5M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-53311 |
|---|---|
| SEC ERA File Number | 801-53311 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 104588 |
| Legal Entity Identifier | None |
Principal Office
3909 RUSH-MENDON ROADMENDON
NY
United States
Monday - Friday, 9:00AM - 5:00AM
Tel: (585) 624-3150, Fax: (585) 624-3650
Chief Compliance Officer
CHRISTOPHER CAROSA
PRESIDENT AND CHIEF COMPLIANCE OFFICER
3909 RUSH MENDON ROAD
MENDON
NY
United States
Tel:
(585) 624-3150
Fax:
(585) 624-3650
C******@****************M
(Full email address available in API data)
Regulatory Contact
CHRISTOPHER CAROSA
PRESIDENT AND CHIEF COMPLIANCE OFFICER
3909 RUSH MENDON ROAD
MENDON
NY
United States
Tel:
(585) 624-3150
Fax:
(585) 624-3650
C******@****************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 |
|---|---|---|---|---|---|
| CAROSA, CHRISTOPHER, NMN | Individual | – | MANAGING MEMBER, PRESIDENT, CHIEF COMPLIANCE OFFICER | 11/1996 | > 75% |