Exceed Advisory LLC (New York)

Exceed Advisory LLC is an investment adviser to an investment company based in New York. It manages $45.07 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2014 and has operated in the jurisdiction of New York.

Exceed Advisory provides portfolio management for investment companies and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Exceed Advisory: assets under management

The assets under management (AUM) of Exceed Advisory LLC is $45.07 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 118% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $45.07 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $22.54 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Exceed Advisory LLC for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Exceed Advisory serves?

The only and largest group of clients of Exceed Advisory is investment companies with 2 clients and $45.07 million of assets under management. Among the 1 most similar advisory firms, Exceed Advisory has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $45.07 million for 2 clients. None of the firm’s clients are foreign persons or businesses.

Exceed Advisory doesn't advise any private funds.

Careers at Exceed Advisory LLC

The company employs 2 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives 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
Joseph Halpern	Manager	1 Oct 2013	Other	4637169
Exceed Holdings Llc	Member	1 Oct 2013	75% - 100%	46-1378003
Margaret Powell	Chief compliance officer	1 Oct 2013	Other	2183117
Lawrence Howard Solomon	Chief financial officer	1 Oct 2013	Other	2939446
Exceed Investments Llc	Owner	1 Oct 2013	75% - 100%	46-1378003
Lawrence Howard Solomon	Chief operating officer	1 Jan 2015	Other	2939446
Joseph Halpern	Chief compliance officer	1 Apr 2018	Other	4637169

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Joseph Halpern	Owner	1 Oct 2012	25% - 50%	4637169

Based in New York

The principal office where Exceed Advisory LLC performs its advisory services is located at 79 Madison Avenue, New York, NY 10016, 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 646-580-7046. The normal business hours are 9 am - 5 pm on Monday - Friday.