ASSET STRATEGY ADVISORS, LLC
Adviser information for ASSET STRATEGY ADVISORS, 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 | Massachusetts, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 8 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 487 | $199.4M |
| Non-Discretionary | 52 | $357.6M |
| Total | 539 | $557.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 117 | $15.5M |
| HNW Individuals | 399 | $192.3M |
| 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 | 23 | $349.2M |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-66549 |
|---|---|
| SEC ERA File Number | 801-66549 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 139879 |
| Legal Entity Identifier | None |
Principal Office
24 SUPERIOR DRIVESUITE 101
NATICK
MA
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: 781-235-4426, Fax: 781-222-3002
Chief Compliance Officer
KENT FITZPATRICK
CHIEF COMPLIANCE OFFICER
24 SUPERIOR DRIVE
SUITE 101
NATICK
MA
United States
Tel:
781-235-4426
Fax:
781-222-3002
K**@****************M
(Full email address available in API data)
Regulatory Contact
TONI KIMMEL
CONSULTANT
535 E. MORROW DR
PHOENIX
AZ
United States
Tel:
602-663-1222
Fax:
N/A
T***@********M
(Full email address available in API data)
Industry Affiliates
| ASSET STRATEGY FINANCIAL GROUP, INC. | Insurance company or agency |
| ASSET STRATEGY REALTY PARTNERS, LLC. | Real estate broker or dealer |
| CONCORDE INVESTMENT SERVICES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RCX CAPITAL GROUP, LLC | 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 |
|---|---|---|---|---|---|
| FITZPATRICK, KENT, ALLAN | Individual | – | MEMBER/CHIEF COMPLIANCE OFFICER | 10/2007 | > 75% |
| WHALEN, SEAN, DAVID | Individual | – | FINANCIAL CONSULTANT | 08/2020 | 5-10% |
| SALAMONE, ROSARIO, SALVATORE | Individual | – | DIRECTOR OF RESEARCH | 08/2020 | 5-10% |
| ASSET STRATEGY HOLDINGS, LLC | Domestic Entity | – | HOLDING COMPANY | 08/2020 | > 75% |