NORTHEASTERN STAR ASSET MANAGEMENT, INC.
Adviser information for NORTHEASTERN STAR ASSET MANAGEMENT, INC. last updated from Form ADV on March 13th, 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 | Pennsylvania, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 788 | $207.6M |
| Non-Discretionary | 0 | $0 |
| Total | 788 | $207.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 271 | $55.0M |
| HNW Individuals | 77 | $122.3M |
| 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 | 7 | $24.6M |
| Charitable organizations | <5 | $5.7M |
| 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 | $477 |
| 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 | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-80227 |
|---|---|
| SEC ERA File Number | 801-80227 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 171891 |
| Legal Entity Identifier | None |
Principal Office
1017 MUMMA ROADSUITE 105
WORMLEYSBURG
PA
United States
Monday - Friday, 8:30 AM - 4:30 PM
Tel: 717-732-2719, Fax: 717-763-1379
Chief Compliance Officer
KENNETH R. FERRONE
1017 MUMMA ROAD
SUITE 105
WORMLEYSBURG
PA
United States
Tel:
717-732-2719
Fax:
717-763-1379
K*******@*****************M
(Full email address available in API data)
Industry Affiliates
| B & D TAX SERVICES, INC D/B/A DUBE'S TAX & PAYROLL SERVICES | Accountant or accounting firm |
| STAR-FOCUSED INSURANCE SERVICES, 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 |
|---|---|---|---|---|---|
| FERRONE, KENNETH, RICHARD | Individual | – | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER, CHIEF INVESTMENT OFFICER | 08/2014 | 50-75% |
| DUBENDORF, PAUL, SETH | Individual | – | PRESIDENT / MANAGING MEMBER | 08/2014 | 50-75% |