Asset manager · Wayland, MA
Asset Strategy Advisors, LLC
SEC-registered investment adviser · CRD 139879 · SEC 801-66549
At a glance
Asset Strategy Advisors, LLC is an SEC-registered investment adviser based in Wayland, Massachusetts, with $649 million in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is pension and profit sharing plans, and it reports 481 individual clients. By Form ADV it is a asset manager, ranked 1,567th of 3,218 asset managers and 6,810th of 17,210 SEC-registered advisers by assets.
Main office 781-235-4426assetstrategy.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $649M
- Rank among asset managers
- #1,567 of 3,218
- Rank among all SEC RIAs
- #6,810 of 17,210
- Rank in Massachusetts
- #351 of 627
- Individual clients
- 481
- High-net-worth clients
- 290
- Accounts
- 504
- Discretionary
- 34% of AUM
- Employees
- 10
- Advisory staff
- 8
- Offices
- 1
Owners and executives on its Form ADV
- Kent A. FitzpatrickMember/chief Compliance Officer
- Rosario S. SalamoneDirector of Research
Custody and brokerage
Custodian
Asset Strategy Advisors, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Asset Strategy Advisors, LLC is a hybrid RIA: 8 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Concorde Investment Services, LLC and RCX Capital Group, LLC.
- Concorde Investment Services, LLC ↗CRD 151604
An introducing broker-dealer: its trades clear through Pershing and RBC Capital Markets, which hold the brokerage accounts. Its annual audited report filed with the SEC, April 2026
- RCX Capital Group, LLC ↗CRD 114290
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, March 2026
Its Form ADV brochure (filed March 2026) names Concorde Investment Services as the broker-dealer its advisers are registered with.
Certain associated persons, as registered representatives of Concorde Investment Services, LLC, may receive commissions on securities transactions and/or 12b -1 fees on certain mutual fund sales.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pension and profit sharing plans | 23 | $420M | 65% |
| High-net-worth individuals | 290 | $193M | 30% |
| Individuals | 191 | $37M | 6% |
Disciplinary disclosures
Asset Strategy Advisors, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗assetstrategy.com ↗
AtlasMembers
The full record on Asset Strategy Advisors, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 1,019 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Asset Strategy Advisors, LLC manage?
Asset Strategy Advisors, LLC reports $649 million in regulatory assets under management across 504 accounts, 34% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Asset Strategy Advisors, LLC?
Asset Strategy Advisors, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Asset Strategy Advisors, LLC’s clients?
By assets, its largest client types are pension and profit sharing plans ($420 million, 23 clients); high-net-worth individuals ($193 million, 290 clients); individuals ($37 million, 191 clients).
Does Asset Strategy Advisors, LLC have any disciplinary history?
Asset Strategy Advisors, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Asset Strategy Advisors, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →