C
CTM Financial, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$10,489,648
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
8
13% 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
8
LowAverage account size
$1,311,206
About
CTM Financial, LLC is an independent registered investment adviser that provides portfolio management and advisory services to a small client base of eight clients, including individual investors and some corporate or business clients. The firm reports approximately $10.86 million in regulatory assets under management and generally charges fees based on a percentage of assets under management.
As a solo-practitioner firm, the sole managing member supervises client relationships directly and monitors recommendations for suitability, risk tolerance, and any client-imposed restrictions. The firm offers separately managed accounts and, in some strategies, employs derivatives to implement investment objectives and manage exposures.
What distinguishes CTM from many peers is the combination of operating as a one-advisor boutique while serving corporate/business clients and explicitly using derivatives within separately managed accounts—features that are uncommon among independent advisers. The firm’s brochure discloses no disciplinary history, no outside business activities, and no additional compensation arrangements, and the same individual has served as the managing member since 2003.
Client services
Financial planning
Portfolio management
Main office location
CTM Financial, LLC
Mahwah NJ, United States
Number of offices
1
Most active in
CTM Financial, LLC has reported serving >5 clients in these states in the last 12 months.
New Jersey
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.
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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.
Forms ADV
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