PERSONAL ASSET STRATEGIES, INC.
Adviser information for PERSONAL ASSET STRATEGIES, INC. last updated from Form ADV on July 31st, 2023. 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 | MARCH |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| 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 | 120 | $34.8M |
| Non-Discretionary | 0 | $0 |
| Total | 120 | $34.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 34 | $4.4M |
| HNW Individuals | 24 | $25.2M |
| 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 | 1 | $5.1M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-63578 |
|---|---|
| SEC ERA File Number | 801-63578 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 128627 |
| Legal Entity Identifier | None |
Principal Office
1600 STEWART AVENUESUITE 204
WESTBURY
NY
United States
Monday - Friday, 9 AM - 5 PM
Tel: 516-248-8811, Fax: 516-248-1183
Websites
Chief Compliance Officer
JEFFREY B. GARBER
GENERAL COUNSEL, SECRETARY AND DIRECTOR
1600 STEWART AVENUE
SUITE 204
WESTBURY
NY
United States
Tel:
516-248-8811
Fax:
516-248-1183
J************@*************M
(Full email address available in API data)
Regulatory Contact
LONNIE M. GARBER
PRESIDENT
1600 STEWART AVENUE
SUITE 204
WESTBURY
NY
United States
Tel:
5162488811
Fax:
5162481183
L***********@*************M
(Full email address available in API data)
Industry Affiliates
| LAW FIRM | Lawyer or law firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GARBER, LONNIE, MILDER | Individual | – | PRESIDENT AND DIRECTOR | 04/1991 | > 75% |
| GARBER, JEFFREY, BRUCE | Individual | – | CHIEF COMPLIANCE OFFICER, SECRETARY AND DIRECTOR | 04/1991 | < 5% |