MARSTONE LLC
Adviser information for MARSTONE LLC last updated from Form ADV on March 6th, 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 | 29 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 6 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 115 | $2.5M |
| Non-Discretionary | 0 | $0 |
| Total | 115 | $2.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 31 | $148,578 |
| HNW Individuals | 0 | $0 |
| 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 | <5 | $2.3M |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 2.3M |
| Both for Same | 148,578 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| WRAP PROGRAM A | MARSTONE LLC |
| WRAP PROGRAM B | MARSTONE LLC |
Identifiers
| SEC RIA File Number | 801-78264 |
|---|---|
| SEC ERA File Number | 801-78264 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 164810 |
| Legal Entity Identifier | None |
Principal Office
171 CHESTNUT STREETSUITE 200
PROVIDENCE
RI
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 212.203.7790, Fax: None
Chief Compliance Officer
JAMES URUBA
CCO
214 RIVERSIDE DRIVE
APT. 108
NEW YORK
NY
United States
Tel:
212.203.7790
J*****@***********M
(Full email address available in API data)
Regulatory Contact
CHARLES BLACK
CONSULTANT
6224 TURPIN HILLS DRIVE
CINCINNATI
OH
United States
Tel:
859-474-2413
C************@******O
(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 |
|---|---|---|---|---|---|
| MARSTONE, INC | Domestic Entity | – | MANAGING MEMBER | 09/2012 | > 75% |
| HARTIGAN, MARGARET, JOSEPHINE | Individual | MARSTONE, INC | SHAREHOLDER | 06/2011 | 25-50% |
| HARTIGAN, MARGARET, JOSEPHINE | Individual | – | CEO | 11/2012 | < 5% |
| LAVINE, CHRISTOPHER, DALTON | Individual | – | CHIEF FINANCIAL OFFICER | 12/2017 | < 5% |
| Uruba, James | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2020 | < 5% |