Friedenthal Financial, Llc
- Regulatory AUM
- $196M
- Discretionary
- $196M
- Clients
- 196
- Avg AUM / client
- $1.0M
- Accounts
- 536
- Employees
- 4
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Apr 16, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 122 | $43.4M | 22.1% |
| High net worth individuals | 68 | $147M | 75.0% |
| Pension and profit sharing plans | 4 | $3.5M | 1.78% |
| Charitable organizations | 1 | $743K | 0.38% |
| Corporations and other businesses | 1 | $1.5M | 0.78% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Mark Stuart Friedenthal | President/Chief Compliance Officer | Apr 2009 (17y) | 75% or more | |
| Frederic Wheeler | Chief Investment Officer | CFA | Feb 2010 (16y) | 10% – 25% |
| Claudia Rose Saia | Registered representative | CFA | Sep 2021 (5y) | |
| Soumyadeep Sinha | Registered representative | Jun 2024 (2y) |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/16/2026 | 902 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
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $196M (100% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Apr 16, 2026.
View current Form ADV (SEC/IAPD) ↗