ASSET STRATEGIES, INC.
Adviser information for ASSET STRATEGIES, INC. last updated from Form ADV on February 20th, 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 | Connecticut, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 2 |
| 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 | 606 | $140.1M |
| Non-Discretionary | 0 | $0 |
| Total | 606 | $140.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 87 | $35.1M |
| HNW Individuals | 47 | $104.5M |
| 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 | <5 | $531,393 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 10 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-61023 |
|---|---|
| SEC ERA File Number | 801-61023 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 119661 |
| Legal Entity Identifier | None |
Principal Office
80 WEST AVON RD.AVON
CT
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 860-673-5500, Fax: 860-675-5505
Chief Compliance Officer
NOLAN J. ROBINSON
80 W. AVON ROAD
AVON
CT
United States
Tel:
860-673-5500
Fax:
860-675-5505
N****@**************M
(Full email address available in API data)
Regulatory Contact
ALAN M. ROTHSTEIN
PRESIDENT
80 W. AVON ROAD
AVON
CT
United States
Tel:
860-673-5500
Fax:
860-675-5505
A***@**************M
(Full email address available in API data)
Industry Affiliates
| ASSET STRATEGIES, INC. | Lawyer or law firm |
| ROTHSTEIN & COMPANY, LLC | Accountant or accounting firm |
| ROTHSTEIN & COMPANY, LLC | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ROTHSTEIN, ALAN, MILES | Individual | – | PRESIDENT, TREASURER | 02/2002 | > 75% |
| ROBINSON, NOLAN, JAMES | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2023 | < 5% |