P
Preakness Retirement Advisors, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$12,472,020
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
6
100% 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
6
Very LowAverage account size
$2,078,670
About
Preakness Retirement Advisors, LLC is a small independent registered investment adviser that provides diversified asset allocation plans and financial planning to individuals, qualified retirement plans, trusts, estates, corporations and other business entities. The firm reports managing roughly $18.2 million across a limited number of client relationships and emphasizes tailored plans that are implemented only with client approval.
Investment advice is built around diversified asset allocation using low‑expense index funds and a mix of fundamental and technical analysis, with Modern Portfolio Theory cited as a guiding rationale. Accounts are managed on a non‑discretionary basis with monthly reviews and written reporting; the firm states that no securities are purchased without prior client approval.
Distinctive features include the firm president’s Certified Financial Planner and Qualified Pension Administrator credentials and the provision of pension‑related consulting in addition to financial planning. The president also maintains life, health and variable‑annuity insurance licenses and may receive commissions when insurance products are sold, while the firm states it does not custody client assets or receive brokerage commissions for securities trades.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
Passive / index investing
Fee options
0.10% to 1% annually (negotiable range)
Commission compensation from insurance product sales (life, health, variable annuities) via insurance brokerage agency
Hourly fees for financial planning and analytical services, negotiated depending on complexity
Fee-only: Hourly fees for financial planning and analytical services, negotiated based on complexity
Main office location
Preakness Retirement Advisors, LLC
Wyckoff NJ, United States
Number of offices
1
Most active in
Preakness Retirement Advisors, LLC has reported serving >5 clients in these states in the last 12 months.
New Jersey
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.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, 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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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.
Forms ADV
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