A
ADV Investment Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$24,995,046
Clients
14
0% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
14
LowAverage account size
$1,785,360
About
ADV Investment Management manages roughly $25 million for a small group of individual, family, small business, and trust clients, offering ongoing investment management, discrete investment advisement reviews, and focused or comprehensive financial planning, including retirement plan rollover guidance. Client relationships vary in scope and duration and may be billed on an asset-based basis or as hourly/negotiated engagement fees for advisement and planning.
The firm builds customized portfolios using fundamental analysis and an asset-allocation approach with periodic rebalancing, primarily employing mutual funds and ETFs and using individual stocks only selectively. ADV typically prefers non-discretionary engagements that require client approval before trades, while also accepting discretionary authority for some accounts, and provides regular (generally quarterly) reporting and review.
Distinctive features include a strict fee-only model with no commissions, no soft-dollar arrangements, and an explicit policy that each portfolio is constructed for a particular client rather than drawn from model portfolios. The firm’s principal holds CFP and NAPFA credentials and a doctoral background in psychology, and the practice combines a very small client roster with relatively high assets per client, plus flexibility to provide one-off advisement or hourly planning on request.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
Occupation focus
Retired
Fee options
Comprehensive financial planning fee typically $1,500 to $2,500 depending on complexity.
$0 - $500,000: 1% $500,000 - $1 million: 0.75% $1 million - $2 million: 0.5% $2 million+: 0.4%
$300 per hour for financial planning and investment advisement services.
Fee-only: Strictly fee-only; no commissions or finder’s fees accepted.
Most active in
ADV Investment Management has reported serving >5 clients in these states in the last 12 months.
New York
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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