Estate & Trust Advisors, Inc. (Northbrook)

Name: Estate & Trust Advisors, Inc.
Address: 707 Skokie Blvd, Northbrook, IL, 60062
Telephone: 847-441-4600

Estate & Trust Advisors, Inc. is a large advisory firm based in Northbrook. It manages $147.68 million of regulatory assets for 150 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdiction of Illinois.

Estate & Trust Advisors provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and selection of other advisers. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Estate & Trust Advisors: assets under management

The assets under management (AUM) of Estate & Trust Advisors, Inc. is $147.68 million. The firm's AUM has grown by 433% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $122.57 million in discretionary accounts and $25.11 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $942.86 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.26 million.

Investments

The firm invests in other assets the most. They account for 35% of the total AUM. The second-largest asset type is exchange traded securities, which make up 20% of the firm’s portfolio. Investments in government bonds form 20% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Estate & Trust Advisors, Inc. for their services and products based on a percentage of assets under management. 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 Estate & Trust Advisors serves?

The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Estate & Trust Advisors is individuals with 110 clients and $73.2 million of assets under management. Among the 11 most similar advisory firms, Estate & Trust Advisors has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $147.68 million for 150 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.

Estate & Trust Advisors doesn't advise any private funds.

Careers at Estate & Trust Advisors, Inc.

The company employs 4 people that are either part- or full-time employees. 75 percent of the employees work as investment advisers or researchers. 3 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
Mark Jeffrey Schwartz	President & chief compliance officer	1 Sep 1997	75% - 100%	4384828

Based in Northbrook

The principal office where Estate & Trust Advisors, Inc. performs its advisory services is located at 707 Skokie Blvd, Northbrook, IL 60062, 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 847-441-4600 or by fax 847-441-4605. The normal business hours are 8:30 a.m.-5:00 p.m. on Monday - Friday. You can find more information about the New York firm at etaadvisor.com.