Carpenter, Claydon Advisors, Inc. (Maitland)

Name: Carpenter, Claydon Advisors, Inc.
Address: 341 N.Maitland Avenue, Maitland, FL, 32751
Telephone: 407-843-0316

Carpenter, Claydon Advisors, Inc. is a large advisory firm based in Maitland. It manages $150.73 million of regulatory assets for 307 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Florida and Texas.

Carpenter, Claydon Advisors provides financial planning services, portfolio management for individuals and small businesses, pension consulting services, selection of other advisers, and asset allocation and portfolio monitoring/review services. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Carpenter, Claydon Advisors: assets under management

The assets under management (AUM) of Carpenter, Claydon Advisors, Inc. is $150.73 million. The firm's AUM has grown by 42% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.12 million in discretionary accounts and $147.61 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.12 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $482.38 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 72% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 12% of the firm’s portfolio. Investments in other assets form 11% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Carpenter, Claydon Advisors, Inc. 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 Deborah Marie Claydon serves?

The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Deborah Marie Claydon is high net worth individuals with 61 clients and $102.04 million of assets under management. Among the 12 most similar advisory firms, Carpenter, Claydon Advisors has the 6th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $150.73 million for 144 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.

Carpenter, Claydon Advisors doesn't advise any private funds.

Careers at Carpenter, Claydon Advisors, Inc.

The company employs 3 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative 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.

Deborah Marie Claydon has been acting as President since 1 Aug 2013. Gordon Keith Carpenter joined the executive team most recently as the President/Treasurer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Gordon Keith Carpenter	President/treasurer	1 Jan 2002	50% - 75%	835177
Deborah Marie Claydon	Vice president/secretary/chief compliance officer	1 Jan 2002	25% - 50%	2030444
Deborah Marie Claydon	President/secretarytreasurer/chief compliance officer	1 Aug 2013	75% - 100%	2030444

Based in Maitland

The principal office where Carpenter, Claydon Advisors, Inc. performs its advisory services is located at 341 N.Maitland Avenue, Maitland, FL 32751, 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 407-843-0316 or by fax 407-645-1484. The normal business hours are 8:00 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at ccawealth.com and its LinkedIn profile.