SourcingSourcing

CIRCLE N ADVISORS, LLC

C48
CRD 271027·SEC 801-101534·FISHKILL, NY
AUM
$94.2M
$25M-$100M
Est. Revenue
$942K
@ 1% on AUM
Est. EBITDA
$283K
@ 30% margin
Est. Deal Value
$2.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
CIRCLE N ADVISORS, LLC
CRD
271027
SEC file #
801-101534
EIN
020700892
DBA names
—

Economics

AUM
$94.2M
AUM band
$25M-$100M
AUM trajectory
'20'26
$64.6M → $94.2M▲ +46%
Client mix
Individuals Other82
Individuals High Net Worth22

Operations

Employees (total)
3
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'20'26
2 advisors → 2 advisors▬ 0%
Primary office
FISHKILL NY
Branches
—

Custodian & Brokerage

Primary custodian
LPL Financiallow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUM

Filings

Latest ADV filing
03/16/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
FRUMBERG, CHARLES, IVER
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
FRUMBERG, CHARLES, IVER
MCFADDEN, DEBRA, ANN
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001478861
Edgar Registered
Yes
Edgar Filing Count
98
Edgar First Filing Date
2010-02-12
Edgar Last Filing Date
2025-01-06
Edgar 13f Count
19
Edgar 13f Latest AUM Estimate
Filing Date2020-02-10
Accession0001085146-20-000508
Edgar Form D Count
1
Edgar Form D Offerings
2010-03-102010-03-10 · 0001478861-10-000006

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
Lpl Financial6
E*trade4
Charles Schwab3
Interactive Brokers1
Edgar Addresses
Mailing
825 THIRD AVENUE33RD FLOORNEW YORK, NY 10022
Business
825 THIRD AVENUE33RD FLOORNEW YORK, NY 10022
Edgar EIN
020700892
Edgar Recent Filings
SCHEDULE 13G/A2025-01-06 · 0001085146-25-000021
SC 13G/A2024-01-31 · 0001085146-24-000562
Firm Has Custody
No
Mailing Office Differs
No
Top Owner CRD
718803
Trust Company Affiliate
No

People (4)

4
FRUMBERG, CHARLES, IVER
Direct Owner · 87.5%
718803
MCFADDEN, DEBRA, ANN
Executive Officer · 2.5%
2016001
JAMES DAVID MCFADDEN
Executive Officer · 2.5%
1979899
CHRISTINE MARIE MURPHY
IAR
2777387