Appomattox Advisory, Inc
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Overview
Appomattox Advisory, Inc operates as an advisory company based in New York, New York. Appomattox Advisory, Inc manages $1.2 billion in total assets over 33 customer accounts, placing it among the larger investment advisory firms in the country by assets under management (AUM). The company has a small team, including 9 financial advisors. Appomattox Advisory, Inc is not a registered broker-dealer, meaning the company cannot buy and sell securities for its accounts and those of its clients and instead must go through a broker-dealer firm to do so. Securities are defined as tradable fiscal assets like equities, options and bonds.
Appomattox Advisory, Inc oversees more than half of the company's accounts on a discretionary basis. Discretionary management signifies that an investment advisor makes buy and sell decisions without needing the customer's consent. Appomattox Advisory, Inc also has 15 non-discretionary accounts totaling $760.8 million in AUM. Appomattox Advisory, Inc administers roughly $37.6 million for every customer account. An average financial advisor at Appomattox Advisory, Inc manages around four client accounts, placing it among the most personalized firms in the country.
The company's main office is located at 551 5Th Ave, New York, New York 10176. The firm is allowed to serve customers throughout 5 states, including California, Connecticut, Florida, New Jersey and New York.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Appomattox Advisory, Inc by the Numbers
$1.2 billion
12
33
$37.6 million
Products and Services
Appomattox Advisory, Inc offers a variety of services, which can include portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for institutional clients and selection of other advisers. The company is not engaged in selling products or offering services aside from investment advisory services to its investment advisory accounts.
Core Advisor Services
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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.
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Offered by 46% of firms
Portfolio Management
This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.
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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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Offered by 20% of firms
Selection of Other Advisors
This is the firm's assistance with choosing other advisors to work with who may have different specialties.
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Publication of Periodicals
This is the publication of various financial education materials.
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Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Fee Structure
Fees for financial management largely are based on which service is provided. Fees billed by the firm can include the following fee structures: asset-based, fixed or performance-based. The firm does not supply a wrap fee program, in which the company offers a bundle of services for a comprehensive fee.
Available
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Offered by 69% of firms
Percentage of Assets
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Offered by 26% of firms
Performance-based
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Offered by 32% of firms
Fixed
Unavailable
Types of Clients
The firm works with high net worth investors, pooled investment vehicles and charitable organizations. Out of its 33 customers, Appomattox Advisory, Inc's largest client type by number of accounts is high net worth investors, but it also manages money for 18 high-net-worth individuals. The SEC defines a high-net-worth individual as a person who has at least $750,000 in AUM or a net worth of at least $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). Around 45% of its accounts reside abroad.
- High-Net-Worth Individuals* - 54.55%
- Other Individuals - 0%
- Corporations - 24.24%
- Charitable Organizations - 21.21%
* 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
Appomattox Advisory, Inc does not have any disclosures.
Please visit its Form ADV for more details.
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