Whiston Asset Management
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm provides investment advisory and wealth-management services to individual clients as well as trusts, estates, retirement plans and small business entities. Services described in the brochure include comprehensive portfolio and asset management, retirement and estate planning advice, pension/ESRPP consulting provided through a separate affiliated consulting entity, and periodic client communications such as newsletters.
Investment implementation centers on proprietary model portfolios and a strategic asset-allocation approach that uses ETFs, mutual funds, individual stocks and bonds, with regular rebalancing and periodic in‑person reviews. Accounts are generally managed on a discretionary basis under a limited power of attorney, with cash balances placed in conservative vehicles (e.g., money market funds or short-term instruments) and performance and suitability reviewed periodically.
Noteworthy distinctions include the firm’s use of performance‑based fee arrangements for some clients, a practice that is uncommon among independent peers and can create different adviser incentives than standard AUM-only billing. The principal also maintains insurance licensing and the firm refers or facilitates insurance and annuity products through separate affiliated entities that are compensated separately, which the brochure discloses as a potential source of conflict and describes procedures to address.
Client services
Expertise
Occupation focus
Fee options
$2,500 to $10,000 for pension consulting and financial planning services provided by Whiston Global Advisors, LLC (a separate firm)
$0 - $500,000: 2.00% $500,001 - $1,000,000: 1.75% $1,000,001 - $5,000,000: 1.50% $5,000,001 - $10,000,000: 1.00% + 10-20% performance bonus $10,000,001 - $25,000,000: Negotiable
$450 per hour for pension consulting and financial planning services provided by Whiston Global Advisors, LLC (a separate firm)
Annual Performance Bonus of 10-20% of capital appreciation, charged on anniversary or termination
Account minimum: $50,000
Main office
445 Park Ave., 9th Floor
New York City NY 10022
Advisors at this office
1
Most active in
New York
Also doing business as
Asset Management · Whiston Advisors · Whiston Asset Management · Whiston Asset Management Group, Inc
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.
Forms ADV
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