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1230 Advisors, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$106,200,000
Clients
30
60% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
30
HighAverage account size
$3,540,000
About
1230 Advisors provides wealth management services to individuals, high-net-worth clients, trusts and estates, offering investment management and financial planning on both discretionary and non-discretionary bases. The firm charges percentage-of-AUM advisory fees and does not place client assets in wrap-fee programs.
The firm builds customized, primarily long-term portfolios using ETFs, mutual funds, individual equities and fixed income, and may employ covered options, limited partnerships, structured products and cash positions when appropriate; investment selections are made following internal due diligence and a mix of fundamental and technical analysis. While focused on long-term objectives, the advisor will trade more actively to rebalance, realize gains or losses, address tax considerations, or meet client liquidity needs.
Compared with many independent advisory practices, the firm manages roughly $106.2 million for about 30 clients, with a substantial portion of assets overseen on a non-discretionary basis—an uncommon level of AUM concentration for a small practice. The firm maintains an institutional relationship with a major custodian that provides operational tools and economic benefits; the arrangement is disclosed as a potential conflict and is integrated into the firm’s operational and custody decisions.
Client services
Financial planning
Portfolio management
Expertise
Active portfolio management
Concentrated stock management
Tax-loss harvesting
Private / alternative investments
Fee options
0.65% to 2.00% annually
Main office location
1230 Advisors, LLC
25 Autumn Ridge Road
Pound Ridge NY 10576, United States
Number of offices
1
Most active in
1230 Advisors, LLC has reported serving >5 clients in these states in the last 12 months.
Florida · New Jersey · New York
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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