T
Troy R. Spratley Investment Advisory
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$1,560,000
Clients
100
0% 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
100
Very HighAverage account size
$15,600
About
Troy R. Spratley Investment Advisory is an independent, state‑registered, solo advisory firm that provides portfolio management services primarily for individual clients. The brochure notes the firm charges percentage‑of‑AUM advisory fees and manages approximately $1.56 million in client assets across about 100 accounts.
The firm's disclosure document outlines its investment process, methods of analysis, and account review procedures, and includes sections on brokerage practices (Item 12) and review of accounts (Item 13). Services appear oriented toward ongoing portfolio management and periodic account oversight typical of retail-focused advisers.
What distinguishes this firm from most independent peers is that the brochure discloses acceptance of commissions for certain transactions in addition to asset‑based advisory fees, a compensation mix that is statistically uncommon among independent, solo advisers. The combination of a modest asset base and a dual compensation model is likely to affect how the firm approaches brokerage relationships and disclosures about other industry activities and affiliations (Item 10).
Client services
Financial planning
Portfolio management
Main office location
Troy R. Spratley Investment Advisory
Baltimore MD, United States
Number of offices
0
Most active in
Troy R. Spratley Investment Advisory has reported serving >5 clients in these states in the last 12 months.
Maryland · Ohio
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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