5Th Street Advisors, LLC

CRD#140165
Investment Advisor Firm

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Overview

5Th Street Advisors, LLC operates as a financial advisory company based in Stamford, Connecticut. 5Th Street Advisors, LLC handles $254.3 million in assets across 565 client accounts, making it a mid-tier financial advisory firm in the nation by assets under management (AUM). The company has a small group of six employees, five of whom are financial advisors. 5Th Street Advisors, LLC is not a registered broker-dealer, signifying that it cannot buy and sell securities for its own accounts as well as its customers' and instead has to go through a broker-dealer firm to do so. Securities are defined as tradable financial assets such as bonds, stocks and options.

5Th Street Advisors, LLC administers most of its client assets in a discretionary manner. Discretionary management signifies that a portfolio manager makes buy and sell choices for the client's account without needing the client's approval. The company also manages 18 non-discretionary accounts with a total of $82.6 million in AUM. The investment advisory firm's typical account size is $450,004. An average advisor at 5Th Street Advisors, LLC manages around 113 client accounts.

5Th Street Advisors, LLC's central office is at 34 Fifth Street, Stamford, Connecticut 6905. The firm is legally allowed to provide services to investors throughout 8 states, including California, Connecticut, Florida, Illinois, Louisiana, New Jersey, New York and Texas.

Assets Under Management

$254.3 million

Number of Advisors

5

Disclosures

No

Office Location

34 Fifth Street
Stamford, CT 06905

5Th Street Advisors, LLC by the Numbers

Total Assets Under Management

$254.3 million

National Average: $3.7 billion
Total Number of Employees

6

National Average: 29
Total Number of Accounts

565

National Average: 2,073
Average Account Size

$450.0 thousand

National Average: $1.8 million

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Products and Services

5Th Street Advisors, LLC provides a number of financial services, which can consist of financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients and other services. In the prior financial year, the company provided 11-25 of its customers with financial planning services. The firm is not engaged in selling products or offering services apart from investment advice to its investment advisory customers.

Core Advisor Services

  • Offered by 45% of firms

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Offered by 62% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

  • Find a firm that offers this service

    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

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Fee Structure

Fees for financial management are based on the services offered. Fee types charged by 5Th Street Advisors, LLC likely are comprised of any combination of the following fee structures: asset-based, hourly or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by 5Th Street Advisors, LLC.

Available

  • Offered by 74% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 35% of firms

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Offered by 40% of firms

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

Unavailable

  • Find one of the 2% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 17% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

The firm manages money for a broad range of clients. The firm works with retail investors, high net worth investors, pension plans, charitable organizations and corporations. Out of its 565 clients, 5Th Street Advisors, LLC's largest client type is retail investors, though it also caters to 56 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an investor who has at least $750,000 in AUM or a net worth of at least $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 1% of its clients are from outside of the U.S.

  • High-Net-Worth Individuals* - 27.45%
  • Other Individuals - 64.22%
  • Corporations - 7.84%
  • Charitable Organizations - 0.49%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

5Th Street Advisors, LLC does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at 5Th Street Advisors, LLC

Shane Pendley
Stamford, CT
Abelardo Curdumi
Stamford, CT
Cesar Manent
Stamford, CT
Maurice Cabral
Stamford, CT
Maryellen Schwartz
Stamford, CT

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This content was compiled from the SEC and FINRA