Congress Park Capital LLC

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Client assets under management

$403,835,160

Clients

145

43% high-net worth

Advisors

of 4 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

Typical

Average account size

$2,785,070

About

Congress Park Capital LLC provides discretionary asset management and retirement plan consulting to individuals (including high‑net‑worth clients) and to pension and profit‑sharing plans. The firm manages roughly $422 million on a discretionary basis and tailors portfolios to clients’ objectives with ongoing supervision and periodic rebalancing.

Investment decisions draw on fundamental and technical analysis and a range of asset allocation approaches from strategic to tactical, with accounts reviewed at least quarterly. The firm, unlike many peers, uses leverage and derivative strategies in separately managed accounts—describing margin transactions, short sales, options (including covered calls, spreads and short puts), and ETNs—and it will occasionally cross client bond positions to address liquidity needs.

Structurally, the firm operates with a small advisory team supported by institutional custodial and execution services through a major broker‑dealer platform, and its representatives are also licensed insurance agents/brokers, a relationship the brochure identifies as a potential conflict addressed through disclosure and fiduciary processes. It also provides ERISA plan consulting and accepts fiduciary responsibilities for plan engagements under Section 3(21) or 3(38), a service emphasis that complements its individual portfolio management.

Client services

Portfolio management Pension consulting

Expertise

Options & derivatives strategies Active portfolio management Wealth management

Fee options

Fixed

Fixed fees generally ranging from $1,500 to $100,000 for Asset Management; $750 to $100,000 for Retirement Plan Consulting

Percentage

Any Assets+: 0.25% - 2.00% annually

Other

Minimum fee: Fixed fee generally within the range of $1,500 to $100,000 for Asset Management; flat fees range from $750 to $100,000 for Retirement Plan Consulting Fee-only: Fixed fees as described above for Asset Management and Retirement Plan Consulting

Main office location

Congress Park Capital LLC

57 Phila Street

Saratoga Springs NY 12866, United States

Number of offices

Most active in

Connecticut · Florida · Massachusetts · New Hampshire · New York · North Carolina · Pennsylvania · Washington

Disclosures

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:

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

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.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure Form ADV Part 3: Client Relationship

Quick links

Website (518) 339-4335

Advisors at this firm

Eric B

Series 65, Series 66

Saratoga Springs, NY

Congress Park Capital LLC

Eric Brodwin is a financial advisor at Congress Park Capital LLC in Saratoga Springs, NY, holding Series 65 and Series 66 licenses with 16 years of industry experience. He has been affiliated with Congress Park Capital and The Law Forum since 2009. Outside of his advisory role, Mr. Brodwin has an equity investment in Forza, Corp., a private company focused on network integration and software development, and he owns Strategic Consulting, providing private consulting services. He is also involved in real estate development through Oldest Lighthouse LLC. Congress Park Capital provides discretionary asset management and retirement plan consulting to individuals, high net worth clients, and employer-sponsored plans. The firm manages approximately $366 million in assets across about 135 client relationships, utilizing a range of investment strategies including fundamental and technical analysis, options strategies, and customized asset allocation.

Options & derivatives strategies Active portfolio management Wealth management

Michael L

Series 65

Saratoga Springs, NY

Congress Park Capital LLC

Michael Los is a financial advisor at Congress Park Capital LLC with eight years of industry experience. He holds the Series 65 designation and has been with Congress Park Capital since 2015. In addition to his advisory role, he is involved with Safeco Alarm Systems Inc. Congress Park Capital provides discretionary asset management and retirement plan consulting to individuals, high net worth clients, and employer-sponsored plans. The firm manages approximately $366 million in regulatory assets across about 135 client relationships, using a range of investment strategies including fundamental, technical, and cyclical analysis.

Options & derivatives strategies Active portfolio management Wealth management

Michael S

Series 66

Saratoga Springs, NY

Congress Park Capital LLC

Michael Steiner is a financial advisor at Congress Park Capital LLC with 18 years of industry experience. He holds a Series 66 designation and has been with Congress Park Capital since 2012. Outside of his advisory role, he is part owner and president of The Steiner Corporation, a dog-related services business. Congress Park Capital provides discretionary asset management and retirement plan consulting to individuals, high net worth clients, and employer-sponsored plans. The firm manages approximately $366 million in assets and employs a range of investment strategies including fundamental and technical analysis, with portfolios reviewed quarterly.

Options & derivatives strategies Active portfolio management Wealth management

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