Kaspian Wealth Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$9,031,000
Clients
34
94% 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
34
TypicalAverage account size
$265,618
About
Kaspian Wealth Management serves individual clients through ongoing asset management and retirement-plan advisory services, including the ability to act as an ERISA 3(38) investment manager for qualified plans. As a solo adviser managing about $9.0 million for roughly 34 clients, the firm documents client goals and provides portfolio construction, monitoring, and rebalancing.
The firm relies on third‑party models and back‑office services provided by Loring Ward (LWI Financial Inc.) to develop asset‑allocation models, produce reporting and handle billing, and it implements portfolios composed primarily of mutual funds, ETFs, and fixed‑income securities. Clients typically grant KWM discretionary trading authority for managed accounts, but custodians must be selected from a limited list required by the platform (Pershing, Fidelity, Schwab, or TD), and the adviser uses Loring Ward’s technology and the SA Funds in portfolio implementation.
Distinctive features include the principal’s outside businesses as a licensed CPA and insurance agent — approximately half of the principal’s time is spent on those activities — and the firm’s disclosed practice of offering related tax and insurance services that may generate separate compensation. KWM also maintains a close operational relationship with Loring Ward and Loring Ward Securities for trading and administration and does not vote client proxies, leaving proxy voting to clients unless assistance is requested.
Client services
Portfolio management
Selection of other advisers
Expertise
Wealth management
Fee options
1.50% annually
Main office location
Kaspian Wealth Management
172 Broadway, Front Bldg, Suite 102
Woodcliff Lake NJ 07677, United States
Number of offices
1
Most active in
Kaspian Wealth Management has reported serving >5 clients in these states in the last 12 months.
New Jersey · 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:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
-
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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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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