Congress Park Capital Llc
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Congress Park Capital LLC provides discretionary asset management and retirement plan consulting to individuals (including high‑net‑worth clients) and to pension and profit‑sharing plans. The firm manages roughly $422 million on a discretionary basis and tailors portfolios to clients’ objectives with ongoing supervision and periodic rebalancing.
Investment decisions draw on fundamental and technical analysis and a range of asset allocation approaches from strategic to tactical, with accounts reviewed at least quarterly. The firm, unlike many peers, uses leverage and derivative strategies in separately managed accounts—describing margin transactions, short sales, options (including covered calls, spreads and short puts), and ETNs—and it will occasionally cross client bond positions to address liquidity needs.
Structurally, the firm operates with a small advisory team supported by institutional custodial and execution services through a major broker‑dealer platform, and its representatives are also licensed insurance agents/brokers, a relationship the brochure identifies as a potential conflict addressed through disclosure and fiduciary processes. It also provides ERISA plan consulting and accepts fiduciary responsibilities for plan engagements under Section 3(21) or 3(38), a service emphasis that complements its individual portfolio management.
Client services
Expertise
Fee options
Fixed fees generally ranging from $1,500 to $100,000 for Asset Management; $750 to $100,000 for Retirement Plan Consulting
Any Assets+: 0.25% - 2.00% annually
Minimum fee: Fixed fee generally within the range of $1,500 to $100,000 for Asset Management; flat fees range from $750 to $100,000 for Retirement Plan Consulting Fee-only: Fixed fees as described above for Asset Management and Retirement Plan Consulting
Main office
See office57 Phila Street
Saratoga Springs NY 12866
Advisors at this office
2
Offices (2)
Most active in
Connecticut · Florida · Massachusetts · New Hampshire · New York · North Carolina · Pennsylvania · Washington
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.
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.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Eric B
Series 65, Series 66
Saratoga Springs, NY
Congress Park Capital Llc
Eric Brodwin is a financial advisor at Congress Park Capital LLC with 17 years of industry experience. He holds Series 65 and Series 66 designations and has worked at both The Law Forum and Congress Park Capital since 2009. Outside of his advisory role, Brodwin has an equity interest in Forza, Corp., a private company specializing in network integration and software development, and he owns Strategic Consulting, through which he provides private consulting services. Congress Park Capital LLC offers discretionary asset management and retirement plan consulting to individuals, including high-net-worth clients, as well as pension and profit-sharing plans. The firm employs fundamental and technical analysis alongside various asset allocation strategies, incorporating leverage and derivative techniques to tailor portfolios with ongoing supervision and periodic rebalancing.
Michael L
Series 65
Saratoga Springs, NY
Congress Park Capital Llc
Michael Los is a financial advisor at Congress Park Capital LLC in Saratoga Springs, NY, holding a Series 65 designation with nine years of industry experience. He has been with Congress Park Capital since 2015 and also worked at Safeco Alarm Systems Inc. for twelve years. Congress Park Capital LLC provides discretionary asset management and retirement plan consulting services to individuals, including high-net-worth clients, as well as pension and profit-sharing plans. The firm manages approximately $422 million on a discretionary basis, employing both fundamental and technical analysis along with a range of strategic and tactical asset allocation approaches.
Michael S
Series 66
Saratoga Springs, NY
Congress Park Capital Llc
Michael Steiner is a financial advisor at Congress Park Capital LLC with 19 years of industry experience. He holds the Series 66 designation and has worked at Congress Park Capital since 2012, following tenure at PKS Advisory Services and Merrill. Outside of advising, he is president and part owner of The Steiner Corporation, a dog-related services business. Congress Park Capital LLC provides discretionary asset management and retirement plan consulting for individuals, including high-net-worth clients, as well as pension and profit-sharing plans. The firm manages approximately $422 million and uses a combination of fundamental and technical analysis, employing both strategic and tactical asset allocation approaches.
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