FLAGSTAR ADVISORS, INC.
Adviser information for FLAGSTAR ADVISORS, INC. last updated from Form ADV on March 28th, 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 | 49 |
|---|---|
| Investment Advisory/Research | 49 |
| Registered Broker-Dealer Representatives | 45 |
| Registered State Investment Advisers | 36 |
| Licensed Agents of an Insurance Company | 30 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,588 | $966.7M |
| Non-Discretionary | 0 | $0 |
| Total | 1,588 | $966.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,135 | $349.4M |
| HNW Individuals | 347 | $496.4M |
| 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 | 52 | $37.0M |
| Charitable organizations | 15 | $30.0M |
| 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 | 39 | $53.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Principal Office
1400 BROADWAY16TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 646-822-1475, Fax: 646-822-1470
Chief Compliance Officer
DOUGLAS GERAGHTY
1400 BROADWAY
16TH FLOOR
NEW YORK
NY
United States
Tel:
646-677-6030
D***************@***********M
(Full email address available in API data)
Regulatory Contact
BRIAN MCGLYNN
COMPLIANCE OFFICER
1400 BROADWAY
16TH FLOOR
NEW YORK
NY
United States
Tel:
646-822-1475
Fax:
646-822-1470
B************@***********M
(Full email address available in API data)
Industry Affiliates
| DOUGLAS INSURANCE AGENCY, INC. | Insurance company or agency |
| FLAGSTAR BANK N.A. | Banking or thrift institution |
| GRASS LAKE INSURANCE AGENCY, INC | Insurance company or agency |
| NEW YORK COMMUNITY BANK | Banking or thrift institution |
| NYCB INSURANCE AGENCY, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PERRY, PHILIP VINCENT | Individual | – | OSJ PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL, SENIOR REGISTERED OPTIONS PRINCIPAL | 11/2000 | < 5% |
| O'KEEFFE, IVOR PATRICK | Individual | – | CHIEF OPERATING OFFICER, DIRECTOR | 03/2007 | < 5% |
| MAGUIRE, WILLIAM JOHN JR | Individual | – | CEO, PRESIDENT, DIRECTOR | 03/2007 | < 5% |
| MCGLYNN, BRIAN JOSEPH | Individual | – | COMPLIANCE REGISTERED OPTIONS PRINCIPAL AND COMPLIANCE OFFICER | 01/2009 | < 5% |
| ROBERTS, JONATHAN HENRY | Individual | – | FINOP/CHIEF FINANCIAL OFFICER | 01/2013 | < 5% |
| MARRAZZO, ROSS NMN | Individual | – | DIRECTOR | 03/2023 | < 5% |
| FLAGSTAR BANK, N.A. | Domestic Entity | – | SHAREHOLDER | 04/2023 | > 75% |
| NEW YORK COMMUNITY BANCORP, INC. | Domestic Entity | FLAGSTAR BANK, N.A. | SHAREHOLDER | 12/2022 | > 75% |
| KAPLAN, ANDREW LYLE | Individual | – | DIRECTOR | 05/2023 | < 5% |
| GERAGHTY, DOUGLAS P | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2023 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 12th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| AMERICAN CENTY ETF TR | AVANTIS EMGMKT | 458K | 7K | – |
| ANGEL OAK FUNDS TRUST | HIGH YIELD OPPOR | 191K | 17K | – |
| BLACKROCK ETF TRUST | US EQT FACTOR | 302K | 6K | – |
| CALAMOS ETF TR | S P 500 STRUCTUR | 211K | 8K | – |
| DIMENSIONAL ETF TRUST | US SMALL CAP ETF | 301K | 5K | – |
| DIREXION SHS ETF TR | NAS100 EQL WGT | 1M | 13K | – |
| FIRST TR EXCH TRADED FD III | CALIF MUN INCM | 970K | 20K | – |
| FIRST TR EXCH TRADED FD III | MUNI HI INCM ETF | 1M | 28K | – |
| FIRST TR EXCH TRADED FD III | PFD SECS INC ETF | 6M | 326K | – |
| FIRST TR EXCH TRADED FD III | INSTL PFD SECS | 5M | 262K | – |
| FIRST TR EXCH TRD ALPHDX FD | DEV MRK EX US | 470K | 8K | – |
| FIRST TR EXCHANGE TRAD FD VI | FST TR GLB FD | 213K | 9K | – |
| FIRST TR EXCHANGE TRADED FD | CLOUD COMPUTING | 336K | 4K | – |
| FIRST TR EXCHANGE TRADED FD | NASDAQ CYB ETF | 2M | 30K | – |
| FIRST TR EXCHANGE TRADED FD | NASDQ CLN EDGE | 567K | 5K | – |
| FIRST TR EXCHANGE-TRADED FD | CAP STRENGTH ETF | 213K | 3K | – |
| FIRST TR EXCHANGE-TRADED FD | DORSEY WRT 5 ETF | 329K | 6K | – |
| FIRST TR EXCHANGE-TRADED FD | SMID RISNG ETF | 3M | 81K | – |
| FIRST TR EXCHANGE-TRADED FD | SENIOR LN FD | 2M | 55K | – |
| FIRST TR EXCHANGE-TRADED FD | NO AMER ENERGY | 5M | 165K | – |
| FIRST TR EXCHANGE-TRADED FD | NY ARCA BIOTECH | 609K | 4K | – |
| FIRST TR EXCHANGE-TRADED FD | MANAGD MUN ETF | 2M | 37K | – |
| FIRST TR EXCHANGE-TRADED FD | WTR ETF | 1M | 12K | – |
| FIRST TR EXCHANGE-TRADED FD | FIRST TR TA HIYL | 2M | 40K | – |
| FIRST TR EXCHANGE-TRADED FD | INDXX INOVTV ETF | 591K | 14K | – |
| FIRST TR EXCHANGE-TRADED FD | RISNG DIVD ACHIV | 3M | 56K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST NAS | 251K | 9K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | 453K | 10K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST UQ EQT | 278K | 7K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | 1M | 37K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST NAS | 488K | 19K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST U.S EQT | 250K | 7K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST U.S EQT | 249K | 7K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | 320K | 7K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST LADDERED | 945K | 32K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US SMALL | 226K | 11K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | 441K | 11K | – |
| FIRST TR EXCHNG TRADED FD VI | TCW UNCONSTRAI | 446K | 18K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST LADDERED | 2M | 74K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | 815K | 18K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | 1M | 35K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | 462K | 10K | – |
| FIRST TR NASDAQ 100 TECH IND | SHS | 225K | 1K | – |
| FIRST TR VALUE LINE DIVID IN | SHS | 8M | 197K | – |
| GLOBAL X FDS | RBTCS ARTFL INTE | 1M | 37K | – |
| GOLDMAN SACHS ETF TR | ACTIVEBETA EME | 349K | 11K | – |
| GOLDMAN SACHS PHYSICAL GOLD | UNIT | 250K | 11K | – |
| GRANITESHARES ETF TR | 2X LONG NVDA DAI | 240K | 3K | – |
| GRAYSCALE BITCOIN TR BTC | SHS REP COM UT | 387K | 7K | – |
| INVESCO ACTVELY MNGD ETC FD | OPTIMUM YIELD | 790K | 56K | – |
| INVESCO EXCH TRADED FD TR II | SR LN ETF | 825K | 39K | – |
| INVESCO EXCH TRADED FD TR II | NASDAQ 100 ETF | 227K | 1K | – |
| INVESCO EXCH TRADED FD TR II | S&P 500 REVENUE | 214K | 2K | – |
| INVESCO EXCH TRADED FD TR II | S&P500 LOW VOL | 402K | 6K | – |
| INVESCO EXCH TRADED FD TR II | FTSE RAFI EMNG | 280K | 14K | – |
| INVESCO EXCH TRADED FD TR II | FTSE RAFI DEV | 927K | 19K | – |
| INVESCO EXCH TRADED FD TR II | NASDAQNXTGEN100 | 601K | 22K | – |
| INVESCO EXCH TRD SLF IDX FD | RAFI STRATGIC US | 283K | 6K | – |
| INVESCO EXCH TRD SLF IDX FD | RUSL 1000 DYNM | 706K | 13K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 702K | 4K | – |
| INVESCO QQQ TR | UNIT SER 1 | 13M | 27K | – |
| INVESTMENT MANAGERS SER TR I | AXS REAL ESTATE | 864K | 38K | – |
| ISHARES GOLD TR | ISHARES NEW | 4M | 93K | – |
| ISHARES INC | CORE MSCI EMKT | 927K | 17K | – |
| ISHARES TR | HDG MSCI EAFE | 823K | 23K | – |
| ISHARES TR | MRGSTR SM CP ETF | 354K | 7K | – |
| ISHARES TR | SHRT NAT MUN ETF | 1M | 11K | – |
| ISHARES TR | MSCI USA QLT FCT | 2M | 14K | – |
| ISHARES TR | NEW YORK MUN ETF | 727K | 14K | – |
| ISHARES TR | CORE HIGH DV ETF | 608K | 6K | – |
| ISHARES TR | IBOXX INV CP ETF | 2M | 18K | – |
| ISHARES TR | PFD AND INCM SEC | 429K | 14K | – |
| ISHARES TR | MSCI USA MMENTM | 623K | 3K | – |
| ISHARES TR | SELECT DIVID ETF | 3M | 23K | – |
| ISHARES TR | RUS MD CP GR ETF | 457K | 4K | – |
| ISHARES TR | ISHS 1-5YR INVS | 2M | 30K | – |
| ISHARES TR | MORNINGSTAR GRWT | 435K | 5K | – |
| ISHARES TR | MSCI USA MIN VOL | 525K | 6K | – |
| ISHARES TR | CORE INTL AGGR | 403K | 8K | – |
| ISHARES TR | RUS MDCP VAL ETF | 387K | 3K | – |
| ISHARES TR | 10-20 YR TRS ETF | 223K | 2K | – |
| ISHARES TR | CORE US AGGBD ET | 9M | 90K | – |
| ISHARES TR | S&P 500 VAL ETF | 4M | 23K | – |
| ISHARES TR | S&P 500 GRWT ETF | 5M | 51K | – |
| ISHARES TR | RUS 1000 VAL ETF | 5M | 28K | – |
| ISHARES TR | MBS ETF | 451K | 5K | – |
| ISHARES TR | 7-10 YR TRSY BD | 869K | 9K | – |
| ISHARES TR | RUS TP200 GR ETF | 7M | 31K | – |
| ISHARES TR | MRGSTR MD CP ETF | 2M | 25K | – |
| ISHARES TR | SHORT TREAS BD | 775K | 7K | – |
| ISHARES TR | TIPS BD ETF | 713K | 7K | – |
| ISHARES TR | MRGSTR MD CP GRW | 530K | 8K | – |
| ISHARES TR | EAFE GRWTH ETF | 443K | 4K | – |
| ISHARES TR | FLTG RATE NT ETF | 1M | 22K | – |
| ISHARES TR | RUSSELL 2000 ETF | 5M | 27K | – |
| ISHARES TR | MSCI INDIA ETF | 807K | 14K | – |
| ISHARES TR | MRGSTR MD CP VAL | 2M | 29K | – |
| ISHARES TR | USD INV GRDE ETF | 406K | 8K | – |
| ISHARES TR | MSCI EMG MKT ETF | 633K | 15K | – |
| ISHARES TR | CORE S&P500 ETF | 36M | 66K | – |
| ISHARES TR | CORE S&P SCP ETF | 15M | 141K | – |
| ISHARES TR | CORE S&P MCP ETF | 7M | 121K | – |
| ISHARES TR | CORE MSCI EAFE | 5M | 66K | – |
| ISHARES TR | IBOXX HI YD ETF | 1M | 15K | – |
| ISHARES TR | MSCI ACWI EX US | 338K | 6K | – |
| ISHARES TR | RUS MID CAP ETF | 3M | 43K | – |
| ISHARES TR | MSCI EAFE ETF | 6M | 74K | – |
| ISHARES TR | RUS 1000 ETF | 837K | 3K | – |
| ISHARES TR | ISHS 5-10YR INVT | 547K | 11K | – |
| ISHARES TR | RUS 1000 GRW ETF | 6M | 15K | – |
| ISHARES TR | ESG AWARE MSCI | 268K | 7K | – |
| ISHARES TR | CORE S&P US VLU | 510K | 6K | – |
| ISHARES TR | MSCI INTL QUALTY | 6M | 147K | – |
| ISHARES TR | ISHARES SEMICDTR | 410K | 2K | – |
| ISHARES TR | MORNINGSTR US EQ | 336K | 4K | – |
| ISHARES TR | EAFE VALUE ETF | 293K | 6K | – |
| ISHARES TR | MSCI USA ESG SLC | 331K | 3K | – |
| ISHARES TR | 3 7 YR TREAS BD | 235K | 2K | – |
| ISHARES TR | U.S. TECH ETF | 2M | 14K | – |
| ISHARES TR | 1 3 YR TREAS BD | 478K | 6K | – |
| ISHARES TR | CORE DIV GRWTH | 14M | 249K | – |
| ISHARES TR | MORNINGSTAR VALU | 453K | 6K | – |
| ISHARES TR | ESG ADV TTL USD | 227K | 5K | – |
| ISHARES TR | CORE TOTAL USD | 843K | 19K | – |
| ISHARES TR | NATIONAL MUN ETF | 274K | 3K | – |
| ISHARES TR | MRGSTR SM CP GR | 228K | 5K | – |
| J P MORGAN EXCHANGE TRADED F | EQUITY PREMIUM | 2M | 41K | – |
| J P MORGAN EXCHANGE TRADED F | ULTRA SHRT INC | 922K | 18K | – |
| J P MORGAN EXCHANGE TRADED F | NASDAQ EQT PREM | 2M | 29K | – |
| JOHN HANCOCK EXCHANGE TRADED | MULTIFACTOR MI | 3M | 49K | – |
| LATTICE STRATEGIES TR | HARTFORD MLT ETF | 2M | 54K | – |
| NUSHARES ETF TR | NUVEEN ESG SMLCP | 279K | 7K | – |
| PACER FDS TR | US CASH COWS 100 | 1M | 23K | – |
| PRINCIPAL EXCHANGE TRADED FD | SPECTRUM PFD | 955K | 52K | – |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | 283K | 4K | – |
| SELECT SECTOR SPDR TR | SBI CONS STPLS | 2M | 24K | – |
| SELECT SECTOR SPDR TR | COMMUNICATION | 1M | 13K | – |
| SELECT SECTOR SPDR TR | SBI CONS DISCR | 267K | 1K | – |
| SELECT SECTOR SPDR TR | ENERGY | 1M | 13K | – |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 362K | 2K | – |
| SELECT SECTOR SPDR TR | INDL | 325K | 3K | – |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 3M | 14K | – |
| SELECT SECTOR SPDR TR | RL EST SEL SEC | 341K | 9K | – |
| SPDR DOW JONES INDL AVERAGE | UT SER 1 | 2M | 4K | – |
| SPDR GOLD TR | GOLD SHS | 2M | 9K | – |
| SPDR INDEX SHS FDS | DJ GLB RL ES ETF | 206K | 5K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 3M | 5K | – |
| SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 3M | 6K | – |
| SPDR SER TR | S&P 400 MDCP GRW | 386K | 5K | – |
| SPDR SER TR | NUVEEN BLOOMBERG | 231K | 9K | – |
| SPDR SER TR | BBG CONV SEC ETF | 2M | 26K | – |
| SPDR SER TR | S&P DIVID ETF | 1M | 10K | – |
| SPDR SER TR | PORTFLI TIPS ETF | 2M | 70K | – |
| SPDR SER TR | S&P 400 MDCP VAL | 234K | 3K | – |
| SPDR SER TR | AEROSPACE DEF | 782K | 6K | – |
| SPDR SER TR | BLOOMBERG 1-3 MO | 1M | 13K | – |
| SSGA ACTIVE ETF TR | BLACKSTONE SENR | 1M | 27K | – |
| SSGA ACTIVE ETF TR | SPDR TR TACTIC | 668K | 17K | – |
| VANECK ETF TRUST | RARE EARTH AND S | 395K | 9K | – |
| VANECK ETF TRUST | DIGI TRANSFRM | 1M | 117K | – |
| VANECK ETF TRUST | GREEN METALS ETF | 486K | 20K | – |
| VANECK ETF TRUST | INDIA GROWTH LDR | 244K | 5K | – |
| VANECK ETF TRUST | DIGITAL INDIA ET | 250K | 6K | – |
| VANECK ETF TRUST | SEMICONDUCTR ETF | 859K | 3K | – |
| VANECK ETF TRUST | MRNGSTR WDE MOAT | 11M | 133K | – |
| VANGUARD ADMIRAL FDS INC | 500 GRTH IDX F | 236K | 708 | – |
| VANGUARD BD INDEX FDS | INTERMED TERM | 393K | 5K | – |
| VANGUARD BD INDEX FDS | TOTAL BND MRKT | 2M | 30K | – |
| VANGUARD BD INDEX FDS | SHORT TRM BOND | 4M | 46K | – |
| VANGUARD BD INDEX FDS | LONG TERM BOND | 4M | 62K | – |
| VANGUARD CHARLOTTE FDS | TOTAL INT BD ETF | 1M | 30K | – |
| VANGUARD INDEX FDS | MID CAP ETF | 2M | 9K | – |
| VANGUARD INDEX FDS | MCAP GR IDXVIP | 911K | 4K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 4M | 15K | – |
| VANGUARD INDEX FDS | VALUE ETF | 6M | 38K | – |
| VANGUARD INDEX FDS | SMALL CP ETF | 3M | 12K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 6M | 11K | – |
| VANGUARD INDEX FDS | SM CP VAL ETF | 821K | 4K | – |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 2M | 25K | – |
| VANGUARD INDEX FDS | GROWTH ETF | 525K | 1K | – |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 1M | 27K | – |
| VANGUARD MALVERN FDS | STRM INFPROIDX | 493K | 10K | – |
| VANGUARD SCOTTSDALE FDS | VNG RUS2000IDX | 326K | 4K | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 5M | 30K | – |
| VANGUARD STAR FDS | VG TL INTL STK F | 2M | 26K | – |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | 1M | 30K | – |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 4M | 30K | – |
| VANGUARD WORLD FD | MEGA CAP INDEX | 450K | 2K | – |
| VANGUARD WORLD FD | UTILITIES ETF | 2M | 12K | – |
| VANGUARD WORLD FD | ESG US STK ETF | 207K | 2K | – |
| VANGUARD WORLD FD | HEALTH CAR ETF | 1M | 4K | – |
| VANGUARD WORLD FD | MEGA CAP VAL ETF | 974K | 8K | – |
| WISDOMTREE TR | US QTLY DIV GRT | 415K | 5K | – |
| WISDOMTREE TR | FLOATNG RAT TREA | 711K | 14K | – |
| WISDOMTREE TR | EUROPE HEDGED EQ | 1M | 23K | – |