Mendoza And Associates, Inc. (Rocky Hill)

Name: Mendoza And Associates, Inc.
Address: 35 Cold Spring Road, Rocky Hill, CT, 06067
Telephone: (860) 563-1319

Mendoza And Associates, Inc. is an adviser based in Rocky Hill. It manages $42.5 million of regulatory assets for 220 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Connecticut and Texas.

Mendoza And Associates provides financial planning services, portfolio management for individuals and small businesses, and selection of other advisers. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

Mendoza And Associates: assets under management

The assets under management (AUM) of Mendoza And Associates, Inc. is $42.5 million. The firm's AUM has grown by 37% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $33.5 million in discretionary accounts and $9 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $229.45 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $121.62 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Mendoza And Associates, Inc. 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.

Careers at Mendoza And Associates, Inc.

Kenneth George Mendoza has been acting as President since 1 Nov 1978. Michael David Mendoza joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Kenneth George Mendoza	President/chief compliance officer	1 Nov 1978	75% - 100%	331948
Michael David Mendoza	Vice-president	1 Apr 1999	Other	3221805
Michael David Mendoza	President	1 Jan 2011	75% - 100%	3221805
Nancy Baxter Mendoza	Secretary/treasurer/director	1 Jan 2011	Other	6036320
Michael David Mendoza	Chief compliance officer	1 Feb 2012	75% - 100%	3221805
Michael David Mendoza	Chief compliance officer	1 Apr 2012	75% - 100%	3221805

Based in Rocky Hill

The principal office where Mendoza And Associates, Inc. performs its advisory services is located at 35 Cold Spring Road, Rocky Hill, CT 06067, 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 (860) 563-1319 or by fax (860) 721-9468. The normal business hours are 8:00 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at www.mendoza-assoc.com.