Wall Street Access Advanced Strategies, LLC (New York)

Wall Street Access Advanced Strategies, LLC is a large advisory firm based in New York. It manages $189.94 million of regulatory assets for 209 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdictions of Arizona, California, Colorado, and 11 other states.

Wall Street Access Advanced Strategies provides financial planning services, portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for pooled investment vehicles. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Wall Street Access Advanced Strategies: assets under management

The assets under management (AUM) of Wall Street Access Advanced Strategies, LLC is $189.94 million. The firm's AUM has grown by 524% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $159.66 million in discretionary accounts and $30.27 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $961.82 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $704.03 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Wall Street Access Advanced Strategies, LLC for their services and products based on a percentage of assets under management, hourly charges, fixed fees, commissions, and performance-based fees. Commissions are paid and earned by the adviser when a trade or a sales of an investment is made. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Wall Street Access Advanced Strategies, LLC

Colleen Patricia Sorrentino has served as the Chief Investment Officer since 1 Nov 2000 and Denis Patrick Kelleher is the Chief Executive Officer of Wall Street Access Advanced Strategies, LLC family office. Arthur Leroy Goetchius joined the executive team most recently as the Chief Financial Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Denis Patrick Kelleher	Chief executive officer	1 Nov 2000	Other	266445
Dennis John Fitzgerald	Vice chairman	1 Nov 2000	Other	710765
Eric Alexander	Chief operating officer	1 Nov 2000	Other	2064257
Jeffrey James Fahs	General counsel/svp compliance	1 Nov 2000	Other	2210750
Colleen Patricia Sorrentino	Chief investment officer	1 Nov 2000	Other	1714405
Llc Wall Street Access	Member	1 Nov 2000	75% - 100%	13-3981253
Steven William Mastronardi	Chief financial officer	1 Oct 2002	Other	2743039
Paul Richard Decaprio	General counsel, vp compliance officer	1 Oct 2003	Other	1509132
Arthur Leroy Goetchius	Chief compliance officer	1 Feb 2005	Other	1374251
Arthur Leroy Goetchius	Chief financial officer	1 Feb 2006	Other	1374251
William Bernard Lyons	Chief compliance officer	1 Feb 2006	Other	1521283

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Wall Street Access Corporation	Member	1 Jan 2001	75% - 100%	13-3057481

Based in New York

The principal office where Wall Street Access Advanced Strategies, LLC performs its advisory services is located at 17 Battery Place, New York, NY 10004, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-709-9400 or by fax 212-709-9870. The normal business hours are 8:30 - 5:30 on Monday - Friday.