Financial Resources Management, Inc. (Commack)


Financial Resources Management, Inc. is a mid-sized advisory firm based in Commack. It manages $48.93 million of regulatory assets for 45 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdiction of New York.

Financial Resources Management provides financial planning services, portfolio management for individuals and small businesses, and portfolio management for businesses and institutional clients. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Financial Resources Management: assets under management

The assets under management (AUM) of Financial Resources Management, Inc. is $48.93 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -11% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $48.93 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.09 million each.

Investments

The firm invests in other assets the most. They account for 48% of the total AUM. The second-largest asset type is state and local bonds, which make up 32% of the firm’s portfolio. Investments in exchange traded securities form 10% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Financial Resources Management, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Financial Resources Management serves?

The only and largest group of clients of Financial Resources Management is high net worth individuals with 9 clients and $46.34 million of assets under management. Among the 0 most similar advisory firms, Financial Resources Management has the 0th lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $46.34 million for 9 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Financial Resources Management doesn't advise any private funds.

Careers at Financial Resources Management, Inc.

The company employs 1 person that is either a part- or full-time employee. 100 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Howard Wiseman President, cco, owner 1 Jun 2002 75% - 100% 4301046

Based in Commack

The principal office where Financial Resources Management, Inc. performs its advisory services is located at 22 Pinewood Drive, Commack, NY 11725, 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 631-543-8612 or by fax 631-543-3463. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday.