MARSHALL & STERLING WEALTH ADVISORS, INC.
Adviser information for MARSHALL & STERLING WEALTH ADVISORS, 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 | New York, United States |
Employees
| Total Number of Employees | 13 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 6 |
| 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 | 1,417 | $320.9M |
| Non-Discretionary | 67 | $343.0M |
| Total | 1,484 | $663.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 573 | $197.7M |
| HNW Individuals | 34 | $61.2M |
| 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 | 197 | $348.7M |
| Charitable organizations | 7 | $3.1M |
| 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 | 8 | $53.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 7 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 663.9M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| MARSHALL & STERLING WRAP FEE PROGRAM | MARSHALL & STERLING WEALTH ADVISORS, INC. |
Identifiers
| SEC RIA File Number | 801-78688 |
|---|---|
| SEC ERA File Number | 801-78688 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 164345 |
| Legal Entity Identifier | None |
Principal Office
110 MAIN STREETPOUGHKEEPSIE
NY
United States
Monday - Friday, 8:30 A.M. - 4:30 P.M.
Tel: 845-554-1046, Fax: 845-625-1640
Chief Compliance Officer
CRAIG M. PESCE
DIRECTOR
110 MAIN STREET
POUGHKEEPSIE
NY
United States
Tel:
845-554-1046
Fax:
845-625-1640
C*****@************M
(Full email address available in API data)
Regulatory Contact
NICOLE KEPPEL
CLIENT OPERATIONS MANAGER
110 MAIN STREET
POUGHKEEPSIE
NY
United States
Tel:
(845) 554-1046
Fax:
845-625-1640
N******@************M
(Full email address available in API data)
Industry Affiliates
| MARSHALL & STERLING ST. CROIX, INC. | Insurance company or agency |
| MARSHALL & STERLING ST. THOMAS, INC. | Insurance company or agency |
| MARSHALL & STERLING UPSTATE, INC. | Insurance company or agency |
| MARSHALL & STERLING, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MARSHALL & STERLING ENTERPRISES, INC. | Domestic Entity | – | OWNER | 03/1993 | > 75% |
| MARSHALL & STERLING ENTERPRISES, INC. EMPLOYEE STOCK OWNERSHIP PLAN | Domestic Entity | MARSHALL & STERLING ENTERPRISES, INC. | TRUST | 01/1977 | > 75% |
| PESCE, CRAIG, MATTHEW | Individual | – | CHIEF COMPLIANCE OFFICER AND DIRECTOR / PRESIDENT | 02/2013 | < 5% |
| SHANKS, CATHERINE, REECK | Individual | MARSHALL & STERLING ENTERPRISES, INC. | TRUSTEE | 06/2014 | |
| MALOY, JEANNE, MARIE | Individual | MARSHALL & STERLING ENTERPRISES, INC. | TRUSTEE | 06/2014 | |
| RYAN, MICHAEL, AMBROSE | Individual | – | VICE PRESIDENT | 06/2016 | < 5% |
| Smith, Frank, J | Individual | MARSHALL & STERLING ENTERPRISES, INC. EMPLOYEE STOCK OWNERSHIP PLAN | TRUSTEE | 01/2023 | 25-50% |
| KEPPEL, NICOLE, ELIZABETH | Individual | MARSHALL & STERLING ENTERPRISES, INC. EMPLOYEE STOCK OWNERSHIP PLAN | TRUSTEE | 01/2024 |