CIRCLE WEALTH MANAGEMENT, LLC
Adviser information for CIRCLE WEALTH MANAGEMENT, LLC last updated from Form ADV on March 29th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 20 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 8 |
| 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 | 611 | $5.2B |
| Non-Discretionary | 347 | $4.9B |
| Total | 958 | $10.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 300 | $9.6B |
| 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 | 19 | $525.9M |
| 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 | <5 | $6.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| 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)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
Principal Office
47 MAPLE STREETSUITE 201
SUMMIT
NJ
United States
Monday - Friday, 8:00 AM - 6:00 PM
Tel: 908-206-1306, Fax: 908-277-3577
Chief Compliance Officer
KRISTEN BREAULT
PARTNER
47 MAPLE STREET
SUITE 201
SUMMIT
NJ
United States
Tel:
908-206-1306
Fax:
908-277-3577
K*******@***********M
(Full email address available in API data)
Regulatory Contact
MARIA L. KATTAN-CHRIN
MANAGING PARTNER
47 MAPLE STREET
SUITE 201
SUMMIT
NJ
United States
Tel:
212-561-6431
Fax:
908-277-3577
M*****@***********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MLKS, LLC | Domestic Entity | – | MEMBER | 12/2006 | 50-75% |
| KATTAN-CHRIN, MARIA, LOURDES | Individual | – | CEO/MANAGING PARTNER | 12/2006 | < 5% |
| KATTAN-CHRIN, MARIA, LOURDES | Individual | MLKS, LLC | MEMBER | 12/2006 | 50-75% |
| BREAULT, KRISTEN, ANNE | Individual | – | CHIEF COMPLIANCE OFFICER, PARTNER | 12/2007 | 5-10% |
| AFK II LLC | Domestic Entity | – | MEMBER | 01/2011 | 10-25% |
| KAPLAN, ANN, FRANCES | Individual | AFK II LLC | MEMBER | 01/2011 | |
| CHRIN, JOHN, ROBERT | Individual | – | MEMBER | 02/2012 | 10-25% |
| Flath, Daniel, Michael | Individual | – | MEMBER | 01/2022 | 5-10% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBOTT LABS | COM | 432K | 4K | – |
| ABBVIE INC | COM | 243K | 1K | – |
| ACCENTURE PLC IRELAND | SHS CLASS A | 624K | 2K | – |
| ADOBE INC | COM | 1M | 2K | – |
| ADVANCED MICRO DEVICES INC | COM | 2M | 12K | – |
| AERCAP HOLDINGS NV | SHS | 579K | 6K | – |
| AIR PRODS & CHEMS INC | COM | 831K | 3K | – |
| ALCOA CORP | COM | 326K | 8K | – |
| ALLEGRO MICROSYSTEMS INC | COM | 210K | 7K | – |
| ALPHA TAU MEDICAL LTD | W EXP 99/99/999 | 16K | 80K | – |
| ALPHABET INC | CAP STK CL C | 13M | 72K | – |
| ALPHABET INC | CAP STK CL A | 12M | 67K | – |
| AMAZON COM INC | COM | 55M | 284K | – |
| AMGEN INC | COM | 414K | 1K | – |
| ANALOG DEVICES INC | COM | 830K | 4K | – |
| ANSYS INC | COM | 258K | 804 | – |
| AON PLC | SHS CL A | 1M | 5K | – |
| APPLE INC | COM | 2B | 7M | – |
| ARISTA NETWORKS INC | COM | 3M | 8K | – |
| ASML HOLDING N V | N Y REGISTRY SHS | 764K | 747 | – |
| ATLASSIAN CORPORATION | CL A | 399K | 2K | – |
| BANK AMERICA CORP | COM | 945K | 24K | – |
| BECTON DICKINSON & CO | COM | 869K | 4K | – |
| BERKSHIRE HATHAWAY INC DEL | CL A | 20M | 32 | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 7M | 17K | – |
| BLACKROCK CORPOR HI YLD FD I | COM | 595K | 61K | – |
| BLACKROCK FLOATING RATE INCO | COM | 700K | 54K | – |
| BOOKING HOLDINGS INC | COM | 923K | 233 | – |
| BROADCOM INC | COM | 2M | 1K | – |
| CADENCE DESIGN SYSTEM INC | COM | 320K | 1K | – |
| CANADIAN PACIFIC KANSAS CITY | COM | 864K | 11K | – |
| CAPITAL ONE FINL CORP | COM | 418K | 3K | – |
| CARRIER GLOBAL CORPORATION | COM | 4M | 65K | – |
| CATERPILLAR INC | COM | 1M | 4K | – |
| CHARTER COMMUNICATIONS INC N | CL A | 821K | 3K | – |
| CHIPOTLE MEXICAN GRILL INC | COM | 1M | 17K | – |
| CISCO SYS INC | COM | 429K | 9K | – |
| COCA COLA CO | COM | 369K | 6K | – |
| COGNITION THERAPEUTICS INC | COM | 81K | 49K | – |
| COINBASE GLOBAL INC | COM CL A | 316K | 1K | – |
| COMCAST CORP NEW | CL A | 2M | 46K | – |
| CONFLUENT INC | CLASS A COM | 598K | 20K | – |
| CONOCOPHILLIPS | COM | 1M | 9K | – |
| CORNING INC | COM | 282K | 7K | – |
| COSTCO WHSL CORP NEW | COM | 2M | 2K | – |
| CREDO TECHNOLOGY GROUP HOLDI | ORDINARY SHARES | 884K | 28K | – |
| CROWDSTRIKE HLDGS INC | CL A | 9M | 23K | – |
| DATADOG INC | CL A COM | 507K | 4K | – |
| DELTA AIR LINES INC DEL | COM NEW | 736K | 16K | – |
| DISNEY WALT CO | COM | 633K | 6K | – |
| DOLLAR GEN CORP NEW | COM | 866K | 7K | – |
| EATON CORP PLC | SHS | 322K | 1K | – |
| ELASTIC N V | ORD SHS | 789K | 7K | – |
| ELEVANCE HEALTH INC | COM | 480K | 885 | – |
| ELI LILLY & CO | COM | 78M | 86K | – |
| ENTEGRIS INC | COM | 517K | 4K | – |
| EXCHANGE LISTED FDS TR | SABA INT RATE | 420K | 20K | – |
| EXXON MOBIL CORP | COM | 263K | 2K | – |
| FEDEX CORP | COM | 1M | 4K | – |
| FERRARI N V | COM | 234K | 574 | – |
| FIRST SOLAR INC | COM | 470K | 2K | – |
| FRANKLIN TEMPLETON ETF TR | FTSE CANADA | 748K | 22K | – |
| FREEPORT-MCMORAN INC | CL B | 521K | 11K | – |
| GE VERNOVA INC | COM | 481K | 3K | – |
| GITLAB INC | CLASS A COM | 416K | 8K | – |
| GOLDMAN SACHS GROUP INC | COM | 11M | 24K | – |
| HILTON WORLDWIDE HLDGS INC | COM | 331K | 2K | – |
| HOME DEPOT INC | COM | 903K | 3K | – |
| HUBSPOT INC | COM | 803K | 1K | – |
| HUMANA INC | COM | 647K | 2K | – |
| ILLINOIS TOOL WKS INC | COM | 2M | 8K | – |
| INTUIT | COM | 662K | 1K | – |
| INTUITIVE SURGICAL INC | COM NEW | 1M | 3K | – |
| INVESCO EXCH TRADED FD TR II | NASDAQ 100 ETF | 2M | 9K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 1M | 7K | – |
| INVESCO QQQ TR | UNIT SER 1 | 23M | 47K | – |
| ISHARES GOLD TR | ISHARES NEW | 35M | 792K | – |
| ISHARES INC | CORE MSCI EMKT | 5M | 91K | – |
| ISHARES INC | MSCI JPN ETF NEW | 3M | 47K | – |
| ISHARES TR | RUS 1000 GRW ETF | 470M | 1M | – |
| ISHARES TR | CORE S&P500 ETF | 358M | 654K | – |
| ISHARES TR | CORE S&P MCP ETF | 252M | 4M | – |
| ISHARES TR | CORE S&P SCP ETF | 226M | 2M | – |
| ISHARES TR | RUS 1000 VAL ETF | 107M | 611K | – |
| ISHARES TR | MSCI ACWI ETF | 21M | 188K | – |
| ISHARES TR | U.S. FIN SVC ETF | 19M | 295K | – |
| ISHARES TR | RUS 1000 ETF | 8M | 27K | – |
| ISHARES TR | RUSSELL 3000 ETF | 7M | 22K | – |
| ISHARES TR | RUSSELL 2000 ETF | 6M | 32K | – |
| ISHARES TR | S&P MC 400GR ETF | 4M | 44K | – |
| ISHARES TR | 7-10 YR TRSY BD | 2M | 21K | – |
| ISHARES TR | MSCI UK ETF NEW | 589K | 17K | – |
| ISHARES TR | MSCI EURO FL ETF | 575K | 26K | – |
| ISHARES TR | ISHARES BIOTECH | 545K | 4K | – |
| ISHARES TR | U.S. MED DVC ETF | 415K | 7K | – |
| ISHARES TR | U.S. TECH ETF | 355K | 2K | – |
| J P MORGAN EXCHANGE TRADED F | U S TECH LEADERS | 281K | 4K | – |
| JOHNSON & JOHNSON | COM | 2M | 11K | – |
| JPMORGAN CHASE & CO. | COM | 16M | 77K | – |
| JPMORGAN CHASE & CO. | CALL | 364K | – | – |
| LAM RESEARCH CORP | COM | 1M | 1K | – |
| MARATHON PETE CORP | COM | 269K | 2K | – |
| MARTIN MARIETTA MATLS INC | COM | 455K | 840 | – |
| MARVELL TECHNOLOGY INC | COM | 586K | 8K | – |
| MASTERCARD INCORPORATED | CL A | 3M | 8K | – |
| MCDONALDS CORP | COM | 797K | 3K | – |
| MERCADOLIBRE INC | COM | 567K | 345 | – |
| MERCK & CO INC | COM | 23M | 189K | – |
| META PLATFORMS INC | CL A | 7M | 15K | – |
| MICRON TECHNOLOGY INC | COM | 2M | 13K | – |
| MICROSOFT CORP | COM | 49M | 109K | – |
| MKS INSTRS INC | COM | 309K | 2K | – |
| MONGODB INC | CL A | 612K | 2K | – |
| MONOLITHIC PWR SYS INC | COM | 895K | 1K | – |
| MOODYS CORP | COM | 652K | 2K | – |
| MORGAN STANLEY | COM NEW | 308K | 3K | – |
| NETFLIX INC | COM | 4M | 6K | – |
| NEXSTAR MEDIA GROUP INC | COMMON STOCK | 257K | 2K | – |
| NIKE INC | CL B | 42M | 554K | – |
| NOVARTIS AG | SPONSORED ADR | 557K | 5K | – |
| NU HLDGS LTD | ORD SHS CL A | 551K | 43K | – |
| NUVEEN NEW YORK QLT MUN INC | COM | 234K | 21K | – |
| NVIDIA CORPORATION | COM | 10M | 83K | – |
| NXP SEMICONDUCTORS N V | COM | 366K | 1K | – |
| OCCIDENTAL PETE CORP | COM | 333K | 5K | – |
| ON SEMICONDUCTOR CORP | COM | 320K | 5K | – |
| ONTO INNOVATION INC | COM | 507K | 2K | – |
| ORACLE CORP | COM | 3M | 24K | – |
| OTIS WORLDWIDE CORP | COM | 3M | 33K | – |
| PACER FDS TR | PACER US SMALL | 3M | 64K | – |
| PACER FDS TR | US CASH COWS 100 | 914K | 17K | – |
| PALANTIR TECHNOLOGIES INC | CL A | 3M | 117K | – |
| PALO ALTO NETWORKS INC | COM | 1M | 3K | – |
| PAYPAL HLDGS INC | COM | 629K | 11K | – |
| PEPSICO INC | COM | 384K | 2K | – |
| PHILIP MORRIS INTL INC | COM | 492K | 5K | – |
| PNC FINL SVCS GROUP INC | COM | 280K | 2K | – |
| PROCORE TECHNOLOGIES INC | COM | 295K | 4K | – |
| PROCTER AND GAMBLE CO | COM | 4M | 26K | – |
| PROSHARES TR | S&P 500 DV ARIST | 316K | 3K | – |
| QUALCOMM INC | COM | 1M | 7K | – |
| RAMBUS INC DEL | COM | 363K | 6K | – |
| REGENERON PHARMACEUTICALS | COM | 935K | 890 | – |
| ROBINHOOD MKTS INC | COM CL A | 582K | 26K | – |
| ROPER TECHNOLOGIES INC | COM | 242K | 429 | – |
| ROSS STORES INC | COM | 839K | 6K | – |
| RTX CORPORATION | COM | 7M | 67K | – |
| RXSIGHT INC | COM | 10M | 166K | – |
| S&P GLOBAL INC | COM | 622K | 1K | – |
| SAP SE | SPON ADR | 512K | 3K | – |
| SBA COMMUNICATIONS CORP NEW | CL A | 700K | 4K | – |
| SCHWAB CHARLES CORP | COM | 625K | 8K | – |
| SCHWAB STRATEGIC TR | US BRD MKT ETF | 64M | 1M | – |
| SCHWAB STRATEGIC TR | US LRG CAP ETF | 7M | 102K | – |
| SCHWAB STRATEGIC TR | US TIPS ETF | 1M | 21K | – |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 15M | 65K | – |
| SELECT SECTOR SPDR TR | SBI CONS STPLS | 7M | 89K | – |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 3M | 19K | – |
| SELECT SECTOR SPDR TR | FINANCIAL | 806K | 20K | – |
| SELECT SECTOR SPDR TR | ENERGY | 702K | 8K | – |
| SELECT SECTOR SPDR TR | INDL | 490K | 4K | – |
| SERVICENOW INC | COM | 1M | 1K | – |
| SHELL PLC | SPON ADS | 700K | 10K | – |
| SHOPIFY INC | CL A | 1M | 20K | – |
| SNOWFLAKE INC | CL A | 1M | 10K | – |
| SPDR GOLD TR | GOLD SHS | 5M | 25K | – |
| SPDR INDEX SHS FDS | EURO STOXX 50 | 3M | 51K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 447M | 822K | – |
| SPDR S&P 500 ETF TR | PUT | 14M | – | – |
| STARBUCKS CORP | COM | 24M | 312K | – |
| SUPER MICRO COMPUTER INC | COM | 599K | 731 | – |
| SYNOPSYS INC | COM | 2M | 3K | – |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 2M | 14K | – |
| TAKE-TWO INTERACTIVE SOFTWAR | COM | 672K | 4K | – |
| TERADYNE INC | COM | 442K | 3K | – |
| TESLA INC | COM | 4M | 21K | – |
| TEXAS INSTRS INC | COM | 996K | 5K | – |
| THE TRADE DESK INC | COM CL A | 858K | 9K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 2M | 3K | – |
| TJX COS INC NEW | COM | 612K | 6K | – |
| T-MOBILE US INC | COM | 1M | 8K | – |
| TRANSDIGM GROUP INC | COM | 994K | 778 | – |
| UBER TECHNOLOGIES INC | COM | 2M | 23K | – |
| UNION PAC CORP | COM | 1M | 5K | – |
| UNITEDHEALTH GROUP INC | COM | 3M | 5K | – |
| UNIVERSAL DISPLAY CORP | COM | 544K | 3K | – |
| VANECK ETF TRUST | GOLD MINERS ETF | 814K | 24K | – |
| VANECK ETF TRUST | OIL SERVICES ETF | 716K | 2K | – |
| VANECK ETF TRUST | SEMICONDUCTR ETF | 674K | 3K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 76M | 284K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 40M | 80K | – |
| VANGUARD INDEX FDS | SMALL CP ETF | 9M | 41K | – |
| VANGUARD INDEX FDS | VALUE ETF | 2M | 10K | – |
| VANGUARD INDEX FDS | GROWTH ETF | 1M | 3K | – |
| VANGUARD INTL EQUITY INDEX F | FTSE EUROPE ETF | 2M | 25K | – |
| VANGUARD SCOTTSDALE FDS | SHORT TERM TREAS | 440K | 8K | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 12M | 63K | – |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 3M | 24K | – |
| VANGUARD WORLD FD | HEALTH CAR ETF | 6M | 22K | – |
| VANGUARD WORLD FD | INF TECH ETF | 436K | 757 | – |
| VEEVA SYS INC | CL A COM | 602K | 3K | – |
| VISA INC | COM CL A | 1M | 5K | – |
| WABTEC | COM | 1M | 7K | – |
| WALMART INC | COM | 363K | 5K | – |
| WASTE MGMT INC DEL | COM | 206K | 966 | – |
| WEBSTER FINL CORP | COM | 554K | 13K | – |
| WELLS FARGO CO NEW | COM | 590K | 10K | – |
| WISDOMTREE TR | INDIA ERNGS FD | 4M | 89K | – |
| WISDOMTREE TR | US LARGECAP DIVD | 4M | 51K | – |
| WOODWARD INC | COM | 352K | 2K | – |
| WORKDAY INC | CL A | 1M | 6K | – |
| XYLEM INC | COM | 872K | 6K | – |
| YUM BRANDS INC | COM | 804K | 6K | – |