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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

ASSET STRATEGIES, INC.

CRD 119661

AVON, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c71b99bd-b828-6c38-4ce2-24b7e1817198

Data as of Feb 20, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Dec 14, 2011 to Feb 20, 2024
25 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $140MItem 5.F on the latest filing (2024-02-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $140M
Private client RAUM: $140MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 606
Individual clients: 87
High net worth clients: 47
Custody, client assets: $4.6M
SEC number: 801-61023
CRD: 119661
Filings on the tape: 25
First filed: Dec 14, 2011
Latest filed: Feb 20, 2024
Organised: Corporation, Connecticut

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ROBINSON, NOLAN, JAMES	CHIEF COMPLIANCE OFFICER	Na	yes	06/2023	Jul 10, 2023	Feb 20, 2024
ROTHSTEIN, ALAN, MILES	PRESIDENT, TREASURER	E	yes	02/2002	Dec 14, 2011	Feb 20, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ALAN M. ROTHSTEIN	n/a	n/a	n/a	Y	yes	n/a
NOLAN J. ROBINSON	n/a	n/a	n/a	Y	yes	n/a
ROTHSTEIN & COMPANY, LLC	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Feb 20, 2024	$140M	$140M	10	2	1	n/a	n/a
2022	Mar 23, 2023	$141M	$137M	10	3	1	n/a	n/a
2021	Mar 22, 2022	$137M	$131M	10	3	1	n/a	n/a
2020	Mar 26, 2021	$134M	$132M	9	2	1	n/a	n/a
2019	Mar 15, 2020	$125M	$125M	10	2	1	n/a	n/a
2018	Mar 21, 2019	$120M	$114M	10	2	2	n/a	n/a
2017	Mar 9, 2018	$134M	$134M	10	2	2	n/a	n/a
2016	Mar 9, 2017	$123M	$123M	12	3	n/a	n/a	n/a
2015	Mar 14, 2016	$117M	$117M	12	3	n/a	n/a	n/a
2014	Mar 5, 2015	$302M	$302M	8	6	n/a	n/a	n/a
2013	Mar 4, 2014	$300M	$300M	9	6	n/a	n/a	n/a
2012	Feb 28, 2013	$275M	$275M	7	5	n/a	n/a	n/a
2011	Mar 1, 2012	$258M	$258M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$140M	$141M	-0.4%	$134M	1.4%	10	10	1	1

Relationships

Controls (2)

← ROTHSTEIN, ALAN, MILESOwnerPRESIDENT, TREASURER, ownership code E, individual
Dec 14, 2011 to presentfactForm ADV
← ROBINSON, NOLAN, JAMESOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 10, 2023 to presentfactForm ADV

Registered with (6)

← ALAN MILES ROTHSTEINAdvisorregistration: previous registration
Apr 1, 2002 to Jul 2, 2024factForm ADV
← EMILY REBEKAH WOODAdvisorregistration: previous registration
Jan 20, 2016 to Mar 22, 2018factForm ADV
← BRENDA JEAN JANIKOWSKIAdvisorregistration: previous registration
Sep 22, 2014 to Oct 27, 2015factForm ADV
← MARISA SHANA ROTHSTEINAdvisorregistration: previous registration
Jan 2, 2015 to Oct 27, 2015factForm ADV
← TIMOTHY JOHN BAKERAdvisorregistration: previous registration
Dec 12, 2013 to Sep 17, 2015factForm ADV
← REBECCA DEWEY GREENAdvisorregistration: previous registration
Feb 2, 2009 to Sep 19, 2011factForm ADV

Dated events

Occurred
Jul 2, 2024
Advisor changed firm
Alan Miles Rothstein left Asset Strategies, Inc. for Advisory Services Network (registered 2024-04-30)
Form ADVobserved 6 days ago
Occurred
Jul 10, 2023
Control person joined
James Nolan Robinson (Chief Compliance Officer) appeared on Schedule A of Asset Strategies, Inc.
Form ADVobserved 6 days ago
Occurred
Mar 26, 2021
Succession filed (Item 4)
Asset Strategies, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c71b99bd-b828-6c38-4ce2-24b7e1817198
First observed: Dec 14, 2011
Last observed: Feb 20, 2024 31 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ASSET STRATEGIES, INC.

CRD 119661

AVON, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c71b99bd-b828-6c38-4ce2-24b7e1817198

Data as of Feb 20, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:53 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ROBINSON, NOLAN, JAMES

CHIEF COMPLIANCE OFFICER

yes

06/2023

Jul 10, 2023

Feb 20, 2024

ROTHSTEIN, ALAN, MILES

PRESIDENT, TREASURER

yes

02/2002

Dec 14, 2011

Feb 20, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ALAN M. ROTHSTEIN

n/a

yes

n/a

NOLAN J. ROBINSON

n/a

yes

n/a

ROTHSTEIN & COMPANY, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Feb 20, 2024

$140M

n/a

2022

Mar 23, 2023

$141M

$137M

n/a

2021

Mar 22, 2022

$137M

$131M

n/a

2020

Mar 26, 2021

$134M

$132M

n/a

2019

Mar 15, 2020

$125M

n/a

2018

Mar 21, 2019

$120M

$114M

n/a

2017

Mar 9, 2018

$134M

n/a

2016

Mar 9, 2017

$123M

n/a

2015

Mar 14, 2016

$117M

n/a

2014

Mar 5, 2015

$302M

n/a

2013

Mar 4, 2014

$300M

n/a

2012

Feb 28, 2013

$275M

n/a

2011

Mar 1, 2012

$258M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$140M

$141M

-0.4%

$134M

1.4%