Broker-dealer firm · Westbury, NY
Personal Asset Strategies, Inc.
SEC-registered investment adviser · CRD 128627 · SEC 801-63578
At a glance
Personal Asset Strategies, Inc. is an SEC-registered investment adviser based in Westbury, New York, with $51 million in regulatory assets under management as of its Form ADV filed June 15, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 40 individual clients. By Form ADV it is a broker-dealer firm, ranked 345th of 391 broker-dealer firms and 15,895th of 17,210 SEC-registered advisers by assets.
Main office 516-248-8811pasfinance.comAs filed on Form ADV
- Regulatory AUM
- $51M
- Rank among broker-dealer firms
- #345 of 391
- Rank among all SEC RIAs
- #15,895 of 17,210
- Rank in New York
- #2,357 of 2,591
- Individual clients
- 40
- High-net-worth clients
- 18
- Accounts
- 107
- Discretionary
- 100% of AUM
- Employees
- 3
- Advisory staff
- 2
- Offices
- 1
Owners and executives on its Form ADV
- Lonnie M. GarberPresident and Director
- Jeffrey B. GarberChief Compliance Officer, Secretary and Director
Custody and brokerage
Custodian
Personal Asset Strategies, Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 18 | $30M | 60% |
| Other | 1 | $10M | 20% |
| Individuals | 22 | $10M | 19% |
Disciplinary disclosures
Personal Asset Strategies, Inc. 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
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗pasfinance.com ↗
AtlasMembers
The full record on Personal Asset Strategies, Inc.
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 49 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
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Personal Asset Strategies, Inc. manage?
Personal Asset Strategies, Inc. reports $51 million in regulatory assets under management across 107 accounts, 100% of it on a discretionary basis, on its Form ADV filed June 15, 2026.
What kind of firm is Personal Asset Strategies, Inc.?
Personal Asset Strategies, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Personal Asset Strategies, Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($30 million, 18 clients); other ($10 million, 1 clients); individuals ($10 million, 22 clients).
Does Personal Asset Strategies, Inc. have any disciplinary history?
Personal Asset Strategies, Inc. 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 Personal Asset Strategies, Inc.’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 (2026-06-15), 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 →