SourcingSourcing

AEM ASSET MANAGEMENT, LLC

B53
CRD 310360·SEC 801-119397·SOMERSET, NJ
AUM
$117.9M
$100M-$500M
Est. Revenue
$1.2M
@ 1% on AUM
Est. EBITDA
$354K
@ 30% margin
Est. Deal Value
$2.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
AEM ASSET MANAGEMENT, LLC
CRD
310360
SEC file #
801-119397
EIN
—
DBA names
—

Economics

AUM
$117.9M
AUM band
$100M-$500M
AUM trajectory
'21'26
$106.1M → $117.9M▲ +11%
Client mix
Individuals High Net Worth22
Individuals Other22
Charitable Organizations1

Operations

Employees (total)
2
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'21'26
3 advisors → 2 advisors▼ -33%
Primary office
SOMERSET NJ
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
aemadvisory.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
ROSENBERG RICH BAKER BERMAN &
Top Owner Pct
62.5
Top Owner Entity Kind
DE
Owner Count
3
Control Persons
ROSENBERG RICH BAKER BERMAN &
SCHWARTZ, ERIC, JASON
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
AEMADVISORY.COM
Rdap Domain Creation Date
2020-07-20T16:46:31Z
Rdap Firm Age Years
6
Rdap Firm Age Band
5-10y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.3198
Soi Zip Pct 200k Plus
0.1067
Soi Zip Returns 200k Plus
3,170
Soi Zip Total AGI
2,879,311
Fdic Zip Total Deposits
30,986,079,000
Fdic Zip Branch Count
390
Fdic Zip Top Banks
Bank of America, National Association
Wells Fargo Bank, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (23)

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
2
Bc Firm IAR Count
2
Custodian Candidates
Full
E*trade4
Interactive Brokers2
Fdic Zip Branches Raw
The Central Jersey Bank and Trust CompanyFranklin Township, NJ
New Jersey Savings BankSomerset, NJ
Fdic Zip HHI
1143.82
Fdic Zip Top Bank Share Pct
26.42
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2030-07-20T16:46:31Z
Rdap Domain Last Changed
2025-07-21T18:16:40Z
Rdap Nameservers
Ns4.wixdns.netNs5.wixdns.net
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI77,439
Returns6,330
Stub 2
AGI223,417
Returns6,010
Stub 3
AGI279,741
Returns4,530
Soi Zip Total Business Income
67,805
Soi Zip Total Cap Gains
91,812
Soi Zip Total Dividends
68,541
Soi Zip Total Returns
29,710
Trust Company Affiliate
No

People (3)

3
SCHWARTZ, ERIC, JASON
IAR · Direct Owner · 37.5%
5879911
SUSAN ELIZABETH DUMONT
Executive Officer · 2.5%
2346501
Francis J. DenDulk
IAR
6885509