FELDSTEIN, STEVEN DBA STEVEN FELDSTEIN & ASSOCIATES
STEVEN FELDSTEIN & ASSOCIATES Legal Name
Adviser information for FELDSTEIN, STEVEN DBA STEVEN FELDSTEIN & ASSOCIATES last updated from Form ADV on March 1st, 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 Jersey, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 525 | $120.0M |
| Total | 525 | $120.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 525 | $120.0M |
| 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 | 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 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 801-56257 |
|---|---|
| SEC ERA File Number | 801-56257 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 109022 |
| Legal Entity Identifier | None |
Principal Office
1 SHADOWBROOK LANEBASKING RIDGE
NJ
United States
Monday - Friday, 9:00AM-5:00PM
Tel: 908-879-9559, Fax: 908-879-2552
Websites
Chief Compliance Officer
STEVEN FELDSTEIN
MANAGING MEMBER
1 SHADOWBROOK LANE
BASKING RIDGE
NJ
United States
Tel:
908-879-9559
Fax:
908-879-2552
S******@********************M
(Full email address available in API data)
Regulatory Contact
DEBORAH DAVIS
COMPLIANCE OFFICER
1 SHADOWBROOK LANE
BASKING RIDGE
NJ
United States
Tel:
908-879-9559
Fax:
908-879-2552
D*******@********************M
(Full email address available in API data)
Industry Affiliates
| FELDSTEIN FINANCIAL GROUP, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FELDSTEIN, STEVEN | Individual | – | CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER | 08/1974 | > 75% |
| GARDELL, AVIS | Individual | – | MEMBER | 03/2014 | < 5% |