Carissima Capital LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$4,522,198
Clients
8
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
8
Very LowAverage account size
$565,275
About
The firm serves individuals, trusts, estates, charitable organizations, family foundations, family offices, corporations and other entities, offering investment advisory, financial planning, co‑advisory services and evaluation/monitoring of unaffiliated private funds. It also provides advice and implementation support for held‑away assets and annuity contracts, including guidance on annuity-related planning when requested.
The firm’s investment approach emphasizes a top‑down, macro‑economic analysis to set asset‑class expectations, followed by construction of client‑specific portfolios and investment policy statements with ongoing monitoring and, typically, discretionary management. Financial planning is delivered in an integrated manner and coordinated with clients’ legal and tax advisors, addressing estate planning, retirement planning and related non‑investment matters.
What is distinctive about this firm is that its principal is both a CFP® professional and a practicing attorney and, at a client’s request, may provide legal services billed separately — an affiliation that is uncommon among independent advisors. The firm is a small, fee‑only practice that also participates in a DPL network to access commission‑free insurance and annuity options (without direct compensation from DPL) and offers private fund due diligence and transition services for concentrated holdings.
Client services
Financial planning
Portfolio management
Expertise
Annuities
Private / alternative investments
Cash flow / budgeting
Fee options
Fixed fee of $5,000 for financial planning services
$0 - $3,000,000: 1.00% $3,000,001 - $5,000,000: 0.80% $5,000,001+: 0.60%
$250 per hour for financial planning services
Account minimum: $500,000 Minimum fee: $1,250 quarterly minimum fee Fee-only: Investment advisory fees based on assets under management; financial planning fees on fixed fee or hourly rate basis
Most active in
Carissima Capital LLC 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 active or affiliated with:
Lawyer
They provide legal services, typically billed separately.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
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.
-
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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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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