MERCADIEN ASSET MANAGEMENT, LLC
Adviser information for MERCADIEN ASSET MANAGEMENT, LLC last updated from Form ADV on March 12th, 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 | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 570 | $243.0M |
| Non-Discretionary | 0 | $0 |
| Total | 570 | $243.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 94 | $56.0M |
| HNW Individuals | 43 | $187.0M |
| 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 | 10 |
| 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 clientsSelection of other advisers (including private fund managers)Educational seminars/workshopsADVICE ON MATTERS NOT INVOLVING SECURITIES. |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 243.0M |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| MERCADIEN ASSET MANAGAMENT | MERCADIEN ASSET MANAGEMENT |
Identifiers
| SEC RIA File Number | 801-61651 |
|---|---|
| SEC ERA File Number | 801-61651 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 121546 |
| Legal Entity Identifier | None |
Principal Office
3625 QUAKERBRIDGE ROADHAMILTON
NJ
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 609-689-9700, Fax: 609-838-3331
Chief Compliance Officer
KENNETH KAMEN
PRESIDENT
3625 QUAKERBRIDGE RD.
HAMILTON
NJ
United States
Tel:
6096892318
Fax:
6098383331
K*******@************M
(Full email address available in API data)
Regulatory Contact
REGINALD BURROUGHS
VICE PRESIDENT
3625 QUAKERBRIDGE ROAD
HAMILTON
NJ
United States
Tel:
609-689-9700
Fax:
609-838-3331
R*********@************M
(Full email address available in API data)
Industry Affiliates
| MERCADIEN PC | Accountant or accounting firm |
| MERCADIEN SECURITIES | 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 |
|---|---|---|---|---|---|
| DRUKER, CONRAD, LOUIS | Individual | – | MEMBER | 07/2000 | < 5% |
| DRUKER, CONRAD, LOUIS | Individual | THE MERCADIEN GROUP, LLC | MEMBER | 07/2000 | 25-50% |
| KAMEN, KENNETH, ALAN | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2005 | 25-50% |
| KAMEN, KENNETH, ALAN | Individual | MERCADIEN ASSET MANAGEMENT, LLC | MEMBER | 08/2004 | 25-50% |
| TMG2 | Domestic Entity | – | MEMBER | 04/2020 | > 75% |