ANDREW GARRETT, INC.
Adviser information for ANDREW GARRETT, INC. 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 15 |
| Registered State Investment Advisers | 15 |
| Licensed Agents of an Insurance Company | 8 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 24 | $12.4M |
| Non-Discretionary | 1,137 | $457.7M |
| Total | 1,161 | $470.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 349 | $352.6M |
| HNW Individuals | 812 | $117.5M |
| 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 | 1161 |
| No. of Non-U.S. Clients | 3 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| AGI ADVISORY ACCOUNT | ANDREW GARRETT, INC. |
| STRATEGIC ETF PORTFOLIOS | STATE STREETGLOBAL ADVISORS |
| ADVISOR ACCOUNT | RBC CAPITAL MARKETS |
| WEALTH MANAGEMENT | ASSETMARK |
| RBC UNIFIED PORTFOLIO | RBC CAPITAL MARKETS, LLC |
Principal Office
52 VANDERBILT AVESUITE 403
NEW YORK
NY
United States
Monday - Friday, 8:30 - 5:00
Tel: 212-682-8833, Fax: 212.584.9339
Chief Compliance Officer
MARK MAURER
CHIEF COMPLIANCE OFFICER
52 VANDERBILT AVE
STE 403
NEW YORK
NY
United States
Tel:
212.682.8833
Fax:
212.584.9339
M******@****************M
(Full email address available in API data)
Regulatory Contact
JAMES
MITCHELL
52 VANDERBILT AVE
STE 403
NEW YORK
NY
United States
Tel:
212.682.8833
Fax:
212.584.9339
J********@****************M
(Full email address available in API data)
Industry Affiliates
| ANDREW GARRETT, INC. | 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 |
|---|---|---|---|---|---|
| SYCOFF, ANDREW GARRETT | Individual | – | CHIEF EXECUTIVE OFFICER/DIRECTOR | 11/2001 | < 5% |
| ANDREW GARRETT HOLDING CORP | Domestic Entity | – | OWNER | 11/2001 | 50-75% |
| MITCHELL, JAMES ROBERT JR | Individual | – | CHIEF ADMINISTRATIVE OFFICER | 05/2003 | < 5% |
| SYCOFF, ANDREW GARRETT | Individual | ANDREW GARRETT HOLDING CORPORATION | OWNER | 08/1992 | > 75% |
| CANNIZZARO-FONG, JANNELLE LYNN | Individual | – | CHIEF FINANCIAL OFFICER/FINOP | 05/2007 | < 5% |
| ESTATE OF JESSE UPCHURCH | Domestic Entity | – | SHARE HOLDER | 02/2018 | 10-25% |
| PLAINS CAPITAL BANK | Domestic Entity | – | EXECUTOR OF ESTATE | 02/2018 | 10-25% |
| MAURER, MARK HENRY | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2022 | < 5% |
| MAURER, MARK HENRY | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2022 | < 5% |