Universe, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$25,487,299
Clients
119
13% 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
119
Very HighAverage account size
$214,179
About
Universe, Inc. provides discretionary investment supervisory services to individual clients and also offers ERISA fiduciary investment management and consulting for pension plans and corporate or business entities. The firm tailors advice through an initial assessment of clients’ risk tolerance, time horizon, income and tax considerations and also offers one‑on‑one consulting for clients who do not want ongoing management.
The firm’s investment process relies primarily on fundamental analysis supplemented by technical, charting and cyclical methods, and it constructs custom portfolios using no‑load mutual funds and ETFs for core holdings with individual equities, bonds, REITs and MLPs in satellite positions. Universe generally favors long‑term holdings and diversification while retaining the flexibility to execute shorter‑term trades, options, margin transactions or other strategies when deemed appropriate.
Noteworthy for a small independent advisory firm, Universe explicitly serves corporate and pension‑plan clients and provides ERISA fiduciary plan services alongside individual wealth management, a combination that is less common among peers. The firm discloses a formal Code of Ethics that limits personal trading to certain instruments and establishes information barriers around family accounts, and it recommends an institutional custodian whose support services the firm receives and discloses as a potential conflict.
Client services
Portfolio management
Pension consulting
Expertise
Wealth management
Passive / index investing
Active portfolio management
Fee options
$0 - $100,000: 1.00% $100,000 - $300,000: 0.75% $300,000 - $600,000: 0.50% $600,000 - $1,000,000: 0.25% $1,000,000+: 0.15%
$50.00 per hour
Main office location
Universe, Inc.
1688 East 16 Th Street, Suite 6
Brooklyn NY 11229, United States
Number of offices
1
Most active in
Universe, Inc. 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 not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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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