INCOME & ASSET ADVISORY, INC.
Adviser information for INCOME & ASSET ADVISORY, INC. last updated from Form ADV on March 15th, 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 | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 433 | $116.0M |
| Non-Discretionary | 0 | $0 |
| Total | 433 | $116.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 239 | $50.4M |
| HNW Individuals | 58 | $63.6M |
| 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 | <5 | $1.5M |
| 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 | <5 | $463,456 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesCONSULTING |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-69801 |
|---|---|
| SEC ERA File Number | 801-69801 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 124955 |
| Legal Entity Identifier | None |
Principal Office
80 BUSINESS PARK DRIVE, SUITE 108ARMONK
NY
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 914-273-6800, Fax: 914-273-6806
Websites
Chief Compliance Officer
JAMES P. MCCAULEY, JR.
PRESIDENT, CEO, AND CHIEF COMPLIANCE OFFICER
80 BUSINESS PARK DRIVE, SUITE 108
ARMONK
NY
United States
Tel:
914-273-6800
Fax:
914-273-6806
J**@**************M
(Full email address available in API data)
Regulatory Contact
HELEN BRADY
OFFICE MANAGER
80 BUSINESS PARK DRIVE, SUITE 108
ARMONK
NY
United States
Tel:
914-273-6800
Fax:
914-273-6806
H****@**************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 |
|---|---|---|---|---|---|
| MCCAULEY, JAMES, PATRICK | Individual | – | PRESIDENT, CEO, AND CHIEF COMPLIANCE OFFICER | 03/2006 | > 75% |