Sacks & Associates, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$212,785,819
Clients
143
Advisors
3
of 4 employees
About
Sacks & Associates, LLC provides discretionary and non‑discretionary investment management and financial and retirement planning to individual clients (including high‑net‑worth individuals) and business entities. The firm offers ongoing portfolio management across equities, ETFs, mutual funds and fixed‑income instruments and tailors advisory services to clients’ stated objectives and restrictions.
The firm’s process centers on developing a written retirement plan through personal meetings to assess financial situation and risk tolerance, implementing that plan via primarily long‑term purchases, and monitoring allocations with periodic account reviews. Investment decisions draw on fundamental, technical and charting analysis, and most client relationships are billed on a percentage‑of‑assets basis with fees invoiced quarterly.
The brochure highlights several features that are less common among peers: the firm sponsors its own wrap‑fee program (described in Appendix 1), and certain personnel are licensed insurance producers/agents who may recommend insurance or annuity products and receive sales compensation (a disclosed conflict of interest). The firm also discloses other financial industry registrations and affiliations (Item 10) and that it may consider custodial research and services when selecting brokers.
Client services
Expertise
Fee options
$0 - $1,000,000: 1.25% $1,000,000 - $2,000,000: 1.00% $2,000,000 - $4,000,000: 0.90% $4,000,000 - $5,000,000: 0.80% $5,000,000+: 0.75%
Certain personnel receive commissions from insurance or annuity product sales
Neil Sacks: $400/hour; Supporting staff: $250/hour
Fee-only: Hourly rates: $400/hour for Neil Sacks, $250/hour for supporting staff
Main office
152 Liberty Corner Road, Suite 204
Warren NJ 07059
Advisors at this office
3
Most active in
Arizona · Florida · Maryland · New Jersey · New York · Pennsylvania · Texas
Also doing business as
Sacks & Associates · Sacks & Associates, LLC
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.
Quick links
Advisors at this firm
Neil S
Series 63, Series 65
Warren, NJ
Sacks & Associates, LLC
Neil Sacks is a financial advisor at Sacks & Associates, LLC with 45 years of industry experience. He holds Series 63 and Series 65 designations and previously worked at Mutual Securities, Inc. from 2015 to 2021. Outside his advisory role, he is involved with Zenith Marketing Group, Inc., an insurance and annuity brokerage firm. Sacks & Associates, LLC provides discretionary and non-discretionary investment management and financial planning services to individual and business clients, including high-net-worth individuals. The firm emphasizes developing written retirement plans through personal meetings and primarily uses long-term investment strategies supported by fundamental, technical, and charting analysis.
Jaime Y
Series 63, Series 65
Warren, NJ
Sacks & Associates, LLC
Jaime Young is a financial advisor at Sacks & Associates, LLC with 24 years of industry experience. He holds Series 63 and Series 65 licenses and has worked previously at Mutual Securities, Inc. and Voya Financial Partners, LLC. Outside of his advisory role, he volunteers with the Judd Elementary Parent Teacher Organization, assisting with fundraisers and class parties. Sacks & Associates, LLC provides discretionary and non-discretionary investment management and financial planning to individuals and business entities, focusing on long-term portfolio management tailored to clients’ objectives. The firm’s process includes developing written retirement plans through personal meetings and utilizing fundamental, technical, and charting analysis for investment decisions.
Edgar L
Series 66
Warren, NJ
Sacks & Associates, LLC
Edgar Lara is a financial advisor at Sacks & Associates, LLC with 26 years of industry experience. He holds a Series 66 designation and has worked at Sacks & Associates since 2008, including a concurrent role at Mutual Securities, Inc. from 2015 to 2021. Outside of his advisory work, he is involved with Zenith Marketing Group, Inc., an insurance and annuity brokerage firm. Sacks & Associates advises individuals, including high-net-worth clients, as well as corporations and business entities, providing discretionary and non-discretionary portfolio management along with financial and retirement planning. The firm emphasizes long-term purchase strategies and tailors recommendations based on client objectives and risk tolerance.
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