CAPITAL FINANCIAL ADVISORS OF NEW YORK, LLC
Adviser information for CAPITAL FINANCIAL ADVISORS OF NEW YORK, LLC last updated from Form ADV on March 26th, 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 York, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 0 |
| 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 | 568 | $217.0M |
| Non-Discretionary | 0 | $0 |
| Total | 568 | $217.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 48 | $33.0M |
| HNW Individuals | 78 | $184.0M |
| 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 | 9 |
| 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 businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-69021 |
|---|---|
| SEC ERA File Number | 801-69021 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 125689 |
| Legal Entity Identifier | None |
Principal Office
10 MAXWELL DRIVESUITE 104B
CLIFTON PARK
NY
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 518-280-0030, Fax: None
Websites
Chief Compliance Officer
JULIANNE SCIANDRA
MEMBER
10 MAXWELL DRIVE
SUITE 104B
CLIFTON PARK
NY
United States
Tel:
518-280-0030
Fax:
518-280-0031
J*************@********M
(Full email address available in API data)
Regulatory Contact
KERRY G. MAYO
MEMBER
10 MAXWELL DRIVE
SUITE 104B
CLIFTON PARK
NY
United States
Tel:
518-280-0030
Fax:
518-280-0031
K*********@********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 |
|---|---|---|---|---|---|
| MAYO, KERRY, GORDON | Individual | – | MEMBER | 01/2011 | 25-50% |
| Julianne, Sciandra Looney | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2017 | 25-50% |