OTTO & ASSOCIATES, INC.
Adviser information for OTTO & ASSOCIATES, INC. last updated from Form ADV on March 25th, 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 | 6 |
|---|---|
| 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 | 591 | $223.5M |
| Non-Discretionary | 0 | $0 |
| Total | 591 | $223.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 83 | $45.9M |
| HNW Individuals | 68 | $177.4M |
| 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 | <5 | $169,358 |
| 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 | 2 |
| No. of Non-U.S. Clients | 2 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-58024 |
|---|---|
| SEC ERA File Number | 801-58024 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 109493 |
| Legal Entity Identifier | None |
Principal Office
16 BEAVER MEADOW ROADNORWICH
VT
United States
Monday - Friday, 9:00 A.M.-5:00 P.M.
Tel: 802-649-1946, Fax: 914-232-5378
Websites
Chief Compliance Officer
SUSAN OTTO GOODELL
CEO AND PRESIDENT
16 BEAVER MEADOW ROAD
NORWICH
VT
United States
Tel:
802-649-1946
Fax:
914-232-5378
S****@********************M
(Full email address available in API data)
Regulatory Contact
DEBORAH MAHER
FINANCIAL PLANNER
16 BEAVER MEADOW ROAD
NORWICH
VT
United States
Tel:
914-232-5379
Fax:
914-232-5378
D******@********************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 |
|---|---|---|---|---|---|
| OTTO, DAVID, WILLIAM | Individual | – | CHIEF EXECUTIVE OFFICER EMERITUS | 12/2023 | 25-50% |
| GOODELL, SUSAN, OTTO | Individual | – | CHIEF EXECUTIVE OFFICER, PRESIDENT, AND CHIEF COMPLIANCE OFFICER | 12/2023 | 50-75% |
| OTTO, ELIZABETH, NMI | Individual | – | SHAREHOLDER | 12/2010 | 10-25% |