EXCEED ADVISORY LLC
Adviser information for EXCEED ADVISORY LLC last updated from Form ADV on March 27th, 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 | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 38 | $49.1M |
| Non-Discretionary | 0 | $0 |
| Total | 38 | $49.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 25 | $8.9M |
| HNW Individuals | 8 | $17.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $23.1M |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-79958 |
|---|---|
| SEC ERA File Number | 801-79958 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 170403 |
| Legal Entity Identifier | None |
Principal Office
79 MADISON AVE.3RD FLOOR
NEW YORK
NY
United States
BY APPOINTMENT, BY APPOINTMENT
Tel: 646-580-7046, Fax: None
Chief Compliance Officer
JOSEPH HALPERN
CEO
79 MADISON AVE.
3RD FLOOR
NEW YORK
NY
United States
Tel:
646-580-7046
J*************@********************M
(Full email address available in API data)
Industry Affiliates
| FOUNTAINHEAD ADVISORS | Other investment adviser, including financial planners |
| FOUNTAINHEAD AM, LLC | Other investment adviser, including financial planners |
| FOUNTAINHEAD RETIREMENT SERVICES | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HALPERN, JOSEPH | Individual | – | MANAGER & CCO | 10/2013 | < 5% |
| EXCEED HOLDINGS LLC | Domestic Entity | – | MEMBER | 10/2013 | > 75% |
| HALPERN, JOSEPH | Individual | EXCEED HOLDINGS LLC | OWNER | 10/2012 | 25-50% |