AJ
Andrew John Spillios, Cfp
State-registered
Wealth Manager · Boutique (under $100M)
CRD 115003
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ADV data as of Jan 04, 2023
- Regulatory AUM
- $10.0M
- Discretionary
- $10.0M
- Clients
- —
- Avg AUM / client
- —
- Accounts
- 8
- Employees
- 1
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | Fewer than 5 clients | $1.0M | 10.0% |
| High net worth individuals | Fewer than 5 clients | $9.0M | 90.0% |
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 01/04/2023 | 985 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. Jan 2023
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jan 04, 2023.
View current Form ADV (SEC/IAPD) ↗