MARK SHEPTOFF FINANCIAL PLANNING LLC
Adviser information for MARK SHEPTOFF FINANCIAL PLANNING LLC 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Connecticut, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| 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 | 810 | $405.9M |
| Non-Discretionary | 0 | $0 |
| Total | 810 | $405.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 131 | $47.1M |
| HNW Individuals | 87 | $303.6M |
| 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 | 11 | $50.0M |
| Charitable organizations | <5 | $919,562 |
| 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 | 5 | $4.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Accountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-57744 |
|---|---|
| SEC ERA File Number | 801-57744 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 108742 |
| Legal Entity Identifier | None |
Principal Office
703 HEBRON AVE 3RD FLOORGLASTONBURY
CT
United States
Monday - Friday, 8:30AM - 5:00PM
Tel: 860-734-1090, Fax: 860-734-1095
Websites
Chief Compliance Officer
MARK SHEPTOFF
MANAGING MEMBER
703 HEBRON AVE 3RD FLOOR
GLASTONBURY
CT
United States
Tel:
8607341090
Fax:
8607341095
M********@***************M
(Full email address available in API data)
Regulatory Contact
KRISTI CHADWELL
OPERATIONS MANAGER
703 HEBRON AVE 3RD FLOOR
GLASTONBURY
CT
United States
Tel:
8607341090
Fax:
8607341095
K********@***************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 |
|---|---|---|---|---|---|
| SHEPTOFF, MARK, A | Individual | – | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | 08/1997 | > 75% |
| SHEPTOFF, JEAN, CATHERINE | Individual | – | LIMITED PARTNER | 01/2016 | 10-25% |