Neptune Advisory, Llc
State-registered
Wealth Manager · Boutique (under $100M)
CRD 329160
· Pittsburgh, PA
· www.neptunewealth.com
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ADV data as of Apr 16, 2026
- Regulatory AUM
- $35.5M
- Discretionary
- $33.0M
- Clients
- 73
- Avg AUM / client
- $487K
- Accounts
- 189
- Employees
- 5
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 55 | $13.9M | 39.0% |
| High net worth individuals | 18 | $21.4M | 60.1% |
| Corporations and other businesses | Fewer than 5 clients | $309K | 0.87% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Joseph Frederick Rambow | Registered representative | Sep 2024 (2y) | ||
| Jason Matthew Kaplan | Registered representative | Jan 2025 (2y) | ||
| Thomas Allen Palmer | Registered representative | Apr 2025 (1y) | ||
| Mark Ronald Strey | Registered representative | CFP | Sep 2025 (1y) | |
| Robert Clinton Chastain | Registered representative | Jan 2026 (1y) |
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 | 1.14 MB | 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
- • Other fees
- • BASIS POINT ARRANGEMENT
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $35.5M (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) ↗