Ambrozy & Associates, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Ambrozy & Associates, Inc. is a single-advisor independent investment adviser that provides portfolio management and financial planning to a small client base, managing roughly $1.56 million for about ten clients as disclosed in its brochure. The brochure indicates the firm works with high-net-worth and institutional-type clients and includes pension plans among the types of clients it serves, rather than focusing on non-high-net-worth retail individuals.
The firm charges percentage-of-assets-under-management advisory fees for portfolio management, a common practice among independent advisers, and describes its methods of analysis and investment strategies in Item 8 of the brochure. In addition to advisory services, the brochure discloses that the firm may execute commissionable transactions and sell other financial products, which it covers in its Fees and Other Financial Industry Activities sections.
Notably, the brochure discloses that the adviser is licensed as an insurance agent and engages in insurance product sales, and it also contains disciplinary information in Item 9, both of which are uncommon among independent solo advisers. The combination of pension consulting services, commissionable product sales, insurance-licensing, and a very small, specialized client roster distinguishes the firm from many peers.
Client services
Fee options
Fixed fees for financial planning services starting at $2,500.
$0 - $1,000,000: 1.50% $1,000,001 - $5,000,000: 1.25% $5,000,001+: 1.00%
Commissions are charged on certain securities transactions.
Hourly rates range from $150 to $300 per hour based on service.
Account minimum: $1,000,000
Main office
Cranford NJ
Advisors at this office
1
Most active in
New Jersey
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
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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.
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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.
Forms ADV
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