C
Carminucci Wealth Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
0
Very LowAverage account size
—
About
Carminucci Wealth Management provides investment management and related advisory services primarily to pooled investment vehicles and institutional clients rather than to individual retail investors, and its Form ADV (Item 7 and Item 4) reports no individual client accounts. The brochure frames these services in the context of managing pooled vehicles and similar institutional mandates.
The firm describes its investment process and authority in Items 8 and 16, indicating it exercises investment discretion for the vehicles it manages and conducts periodic reviews of accounts as noted in Item 13. Like many managers in this category, it relies on its stated methods of analysis and discretionary management to implement portfolio decisions for pooled structures.
The brochure discloses several features that are uncommon among firms in this category: it identifies the adviser as a registered representative of a broker-dealer and as an insurance broker/agent, and it reports an affiliation with a broker-dealer (Item 10). It also notes an hourly fee arrangement in Item 5 and does not rely on percentage-of-AUM fees, which departs from the typical compensation model for investment managers of pooled or institutional assets.
Client services
Financial planning
Fee options
Specific fixed fees mentioned in SEC Form ADV Part 1 but no exact amount stated in brochure
Specific hourly charges mentioned in SEC Form ADV Part 1 but no exact rate stated in brochure
Main office location
Carminucci Wealth Management
4 West Cross Street
Croton Falls NY 10519-0998, United States
Number of offices
1
Most active in
Carminucci Wealth Management has reported serving >5 clients in these states in the last 12 months.
New York
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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