A
Aces Advisors
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$1,250,000
Total clients
19
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
19
Average account size
$65,789
About
Aces Advisors provides portfolio management and financial planning to individuals, high-net-worth households, retirement plans, and business entities. The firm offers ongoing investment management and one-time or comprehensive financial planning covering retirement, tax, insurance, college, and debt/credit planning, consistent with common services offered by independent advisers.
The firm documents client goals and risk through Investment Policy Statements and uses a mix of fundamental analysis, modern portfolio theory, and technical analysis to construct portfolios, employing long- and short-term trading as well as options strategies. Unlike most peers, Aces Advisors reports that the bulk of its assets are managed on a non-discretionary basis, while also offering a held-away implementation service (Pontera) that can use an order management system to apply tax-efficient allocation and opportunistic rebalancing.
Distinctive features include the firm’s emphasis on non-discretionary relationships combined with an active held-away oversight capability for workplace accounts and HSAs, and its use of options trading as part of the investment toolkit. The firm requires use of a specific institutional custodian, does not participate in wrap fee programs, and generally does not aggregate trades for multiple client accounts, factors that can affect execution and operational handling compared with many peers.
Client services
Financial planning
Portfolio management
Expertise
Options & derivatives strategies
Tax-loss harvesting
Wealth management
Fee options
$0 - $300,000: 2.40% $300,001 - $1,000,000: 1.20% $1,000,000 - $3,000,000: 1.00% $3,000,000 - $10,000,000: 0.60%
Minimum fee: Minimum account fee of $5,000 annually Fee-only: Fixed fees for financial planning services ranging from $1,000 to $24,000 depending on plan type
Main office location
Aces Advisors
99 Wall Street, Ste 3311
New York NY 10005, United States
Number of offices
1
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:
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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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