Timothy J. Ellis, Inc. (Syracuse)

Timothy J. Ellis, Inc. is a mid-sized advisory firm based in Syracuse. It manages $72.45 million of regulatory assets for 260 client accounts. It has been registered with the SEC as an adviser since 2014 and has operated in the jurisdictions of New Hampshire and New York.

Timothy J. Ellis provides financial planning services and 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.

Timothy J. Ellis: assets under management

The assets under management (AUM) of Timothy J. Ellis, Inc. is $72.45 million. The firm's AUM has gone down by -3% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $63.7 million in discretionary accounts and $8.75 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $293.53 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $203.6 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 60% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 15% of the firm’s portfolio. Investments in state and local bonds form 15% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Timothy J. Ellis, Inc. for their services and products based on fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Timothy J. Ellis serves?

The firm provides services to individuals and charitable organizations. The largest group of clients of Timothy J. Ellis is individuals with 259 clients and $63.7 million of assets under management. Among the 2 most similar advisory firms, Timothy J. Ellis has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $72.45 million for 260 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.

Timothy J. Ellis doesn't advise any private funds.

Careers at Timothy J. Ellis, Inc.

The company employs 1 person that is either a part- or full-time employee. 100 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
Timothy John Ellis	President, sole shareholder, chief compliance officer	1 Aug 1991	75% - 100%	4648165

Based in Syracuse

The principal office where Timothy J. Ellis, Inc. performs its advisory services is located at 325 Kenwick Drive, Syracuse, NY 13208, 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 315-455-6955 or by fax 315-455-8109. The normal business hours are 9 am - 5 pm on Monday - Friday.