AUM
Employee Count
Main Office
Discretion | AUM |
---|---|
Discretionary | $0.9 |
Non-Discretionary | $0.0 |
Total | $0.9 |
Client | AUM |
---|---|
Retail | $0.9 |
Pooled | $0.0 |
Institutional | $0.0 |
Total | $0.9 |
Retail | Accounts | AUM |
---|---|---|
Individual | 29 | $0.0 |
Average Individual AUM | $233,837 | |
HNW | 74 | $0.9 |
Average HNW AUM | $12,725,369 | |
Retail Total | 103 | $0.9 |
Average Retail AUM | $9,208,336 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
Custodian | Location | AUM |
---|---|---|
FIDELITY BROKERAGE SERVICES LLC | SMITHFIELD-RI-USA | $0.3 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Breakdown | AUM |
---|---|
Total SMA AUM | $0.9 |
Retail SMA AUM | $0.9 |
Institutional SMA AUM | $0.0 |
Asset Class | % | AUM |
---|---|---|
Equity Exch | 22% | $0.2 |
Equity Non-Exch | 16% | $0.2 |
Govt Agency | 2% | $0.0 |
Municipal | 5% | $0.0 |
Sovereign | 0% | $0.0 |
IG Credit | 0% | $0.0 |
HY Credit | 0% | $0.0 |
Derivatives | 0% | $0.0 |
Investment Companies | 10% | $0.1 |
Other Pools | 15% | $0.1 |
Cash | 6% | $0.1 |
Other | 24% | $0.2 |
Total | 100% | $0.9 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates | AUM | Business Types | CRD Number |
---|---|---|---|
DAVID LOUIS CLEARY NEUBERT | $0.0 | - | |
DAVID LOUIS CLEARY NEUBERT | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
7 active representatives found
Name | City | State | Exams | Designations | |||||
---|---|---|---|---|---|---|---|---|---|
TIMOTHY MACGUIRE | NEW YORK | NY | S63|1996-08-13|S65|2023-02-13 | ||||||
DAVID NEUBERT | NEW YORK | NY | S63|1993-09-15|S65|2021-09-17 | ||||||
DAVID ZALE | NEW YORK | NY | S63|1999-06-23|S65|2001-12-20 | CHARTERED FINANCIAL ANALYST | |||||
JOSHUA BECKERMAN | NEW YORK | NY | S65|2023-03-02 | ||||||
CYNTHIA CURTIS NELSON | NEW YORK | NY | S63|1999-08-10|S65|2023-03-20 | ||||||
MICHAEL NELSON | NEW YORK | NY | S63|2005-06-27 | CHARTERED FINANCIAL ANALYST | |||||
GEORGE SEYBOLT | NEW YORK | NY | S63|1980-05-13|S65|1992-07-14 |
ADVDB.CO • SOURCE: SEC
Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
---|---|---|---|---|---|---|
2025-06-02 | $0.9 | $0.0 | 0% | 15 | 0 | 0% |
2025-04-21 | $0.9 | $0.0 | 0% | 15 | 0 | 0% |
2024-04-02 | $0.9 | $0.1 | 7% | 15 | 0 | 0% |
2023-04-04 | $0.7 | $0.2 | 32% | 15 | 0 | 0% |
2022-04-01 | $0.8 | $0.1 | 18% | 11 | 4 | 36% |
2021-04-05 | $0.5 | $0.4 | 87% | 7 | 8 | 114% |
2020-04-01 | $0.4 | $0.5 | 135% | 8 | 7 | 88% |
2019-04-01 | $0.3 | $0.7 | 226% | 5 | 10 | 200% |
2018-04-02 | $0.2 | $0.7 | 333% | 5 | 10 | 200% |
2017-04-01 | $0.2 | $0.8 | 428% | 5 | 10 | 200% |
2016-04-01 | $0.2 | $0.8 | 461% | 5 | 10 | 200% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
STATE REGISTRATIONS |
NY, CA-10/13/2015, FL-10/13/2015, MA-03/30/2020, NY-10/13/2015, OR-02/01/2022, PR-02/01/2022, TX-02/23/2023 |
ADVISER ACTIVITIES |
FINANCIAL PLANNING PORTFOLIO MANAGEMENT MANAGER SELECTION |
OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV