Trotta, John (Farmingdale)

Trotta, John is a mid-sized advisory firm based in Farmingdale. It manages $60 million of regulatory assets for 105 client accounts. It has been registered with the SEC as an adviser since 2014 and has operated in the jurisdiction of New York.

Trotta, John provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Trotta, John: assets under management

The assets under management (AUM) of Trotta, John is $60 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 60% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $60 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $571.43 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 51% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 25% of the firm’s portfolio. Investments in investment and business development companies form 10% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Trotta, John for their services and products based on a percentage of assets under management. 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 Trotta, John serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Trotta, John is high net worth individuals with 17 clients and $34 million of assets under management. Among the 6 most similar advisory firms, Trotta, John has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $60 million for 105 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Trotta, John doesn't advise any private funds.

Careers at Trotta, John

The company employs 5 people that are either part- or full-time employees. 60 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
John Nmn Trotta	Sole proprietor	1 Jun 1992	75% - 100%	1853327
John Trotta	Sole proprietor	1 Jun 1992	75% - 100%	1853327
Sandra D'andrea	Chief compliance officer	1 Jan 2017	Other	6757480

Based in Farmingdale

The principal office where Trotta, John performs its advisory services is located at 1111 Route 110, Farmingdale, NY 11735, 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 631-226-9046 or by fax 631-226-6185. The normal business hours are 9-5 on Monday - Friday.