State-registered independent wealth management RIA
Ambrozy & Associates, Inc.
As of its Form ADV filed November 7, 2012, Ambrozy & Associates, Inc., a state-registered independent wealth management RIA in Spring Lake, New Jersey, reported $1.6 million in regulatory assets under management across 6 accounts, ranking #534 among independent RIAs in New Jersey by assets.
Registration
- Main office
- Spring Lake, NJ
- Registration
- State-registered, Approved
- CRD number
- 129318
- SEC file number
- None (state-registered)
- Registered since
- January 14, 1997
- Latest Form ADV filing
- November 7, 2012
- Organized as
- Corporation
- Fiscal year ends
- December
Key figures
- Regulatory assets under management
- $1.6 million
- Discretionary
- $1.6 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 6 (6 discretionary)
- Clients
- Not reported
- Employees
- 1
- Advisory staff
- 1 performing investment advisory functions
- Average account
- $259,597
- Asset growth, 1 year
- Not reported
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- Not reported
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among independent wealth management RIAs.
| Ranking | Nationally | In New Jersey | Value |
|---|---|---|---|
| Largest independent RIAs by assets under management | #18,243 | #534 | $1.6 million |
| Independent RIAs with the most accounts | #18,264 | #533 | 6 |
| Independent RIAs with the most advisory staff | #10,188 | #292 | 1 |
| Independent RIAs with the most CFP professionals | #3,524 | #98 | 1 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 7, 2026 | $1.6 million |
Clients and services
Client mix
No client types reported.
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Pension consulting
Financial planning clients (Item 5.H): 1-10.
Wrap fee program sponsor or portfolio manager: not reported.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Insurance broker or agent
- Other financial products
Financial industry affiliations (Item 7.A)
None reported.
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 1
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 1
Designations held by the firm's IARs: CFP 1.
1 of the firm's 1 IAR is registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to at least one disclosure question; our source does not give the count. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in New Jersey
| Firm | City | RAUM |
|---|---|---|
| Howard-Martin Capital Group, LLC | Parlin | $1.7 million |
| Sigma Capital Management | Englishtown | $1.6 million |
| Iengage Asset Management LLC | Princeton | $1.5 million |
| Sarkor Financial Advisors | Bloomfield | $1.2 million |
| Artistic Wealth | Brick | $1.2 million |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Ambrozy & Associates, Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Independent RIAs in New Jersey
Firm data as of October 7, 2026, from IA_FIRM_STATE_Feed_10_07_2026.xml.gz. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 7, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.