S
Seminars for the Advancement of Financial Education
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
This total excludes 3 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
21
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
21
TypicalAverage account size
$0
About
The firm provides portfolio management and related advisory services primarily to individual clients and also reports serving a small number of pension and profit-sharing plan clients. It charges advisory fees based on assets under management and maintains a compact client roster (roughly 21 clients).
The firm's Form ADV lists an alternate name that references seminars for the advancement of financial education, indicating an emphasis on client education and outreach alongside its advisory work. The ADV materials show the firm follows a standard advisory model centered on portfolio management and required regulatory disclosures.
What is distinctive about the firm is the combination of services: it also operates in an insurance broker/agent capacity while providing investment advice, and it serves employer-sponsored retirement plans—both of which are uncommon among independent advisers of this size. That mix of insurance activity, plan clients, and a very small client base makes its service offering atypical compared with many peer firms.
Client services
Portfolio management
Selection of other advisers
Main office location
Seminars for the Advancement of Financial Education
New York NY, United States
Number of offices
1
Most active in
Seminars for the Advancement of Financial Education 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:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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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