Lantern Wealth Advisors, LLC (Melville)


Lantern Wealth Advisors, LLC is a mid-sized advisory firm based in Melville. It manages $94.91 million of regulatory assets for 78 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdictions of California, Connecticut, Florida, and 5 other states.

Lantern Wealth Advisors provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, selection of other advisers, and consulting. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Lantern Wealth Advisors: assets under management

The assets under management (AUM) of Lantern Wealth Advisors, LLC is $94.91 million. The firm's AUM has grown by 76% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $94.7 million in discretionary accounts and $214.67 thousand in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.23 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $214.67 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 43% of the total AUM. The second-largest asset type is state and local bonds, which make up 16% of the firm’s portfolio. Investments in investment and business development companies form 15% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Lantern Wealth Advisors, LLC for their services and products based on a percentage of assets under management, hourly charges, 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 Lantern Wealth Advisors serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Lantern Wealth Advisors is high net worth individuals with 28 clients and $59.28 million of assets under management. Among the 5 most similar advisory firms, Lantern Wealth Advisors has the 3rd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $92.29 million for 77 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.

Lantern Wealth Advisors doesn't advise any private funds.

Careers at Lantern Wealth Advisors, LLC

The company employs 10 people that are either part- or full-time employees. 90 percent of the employees work as investment advisers or researchers. 8 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
Keith Michael Lanton Managing member 1 Apr 2008 Other 1703378
Wendy Diane Sheftel Managing member 1 Apr 2008 Other 2300282
Barbara Patricia Lanton Member 1 Apr 2008 Other 2297526
Mark M Eisenberg Managing member 1 Apr 2008 50% - 75% 2154127
Martin Joseph Wisniewski Member 1 Apr 2008 Other 1209169
Daphne Jo Stasco Chief compliance officer 1 Jan 2015 Other 4962845
Llc Markpet Member 1 Jan 2017 Other xxx-xx-xxxx
Inc. Bernard Herold & Co. Managing member 1 Apr 2018 25% - 50% 6193

Indirect Owners

The SEC currently registers 3 indirect owners.

Name Entity Date acquired Ownership Employer ID
Lawrence Stephen Herold President 1 Nov 1983 25% - 50% 870531
Paula Margaret Herold Director 1 May 1993 25% - 50% 1000466
Mark M Eisenberg Member 1 Nov 2012 75% - 100% 2154127

Based in Melville

The principal office where Lantern Wealth Advisors, LLC performs its advisory services is located at 35 Pinelawn Road, Melville, NY 11747, which is also the mailing address of the firm. An additional office of the firm is in San Francisco, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 631-454-2000 or by fax 631-454-2011. The normal business hours are 9 am to 5 pm on Monday - Friday. You can find more information about the New York firm at lanternwa.com.