1 North Wealth Services, LLC (Annapolis)


1 North Wealth Services, LLC is a large advisory firm based in Annapolis. It manages $168.65 million of regulatory assets for 609 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdictions of Maryland, Pennsylvania, and Virginia.

1 North Wealth Services provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

1 North Wealth Services: assets under management

The assets under management (AUM) of 1 North Wealth Services, LLC is $168.65 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $168.65 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $276.93 thousand each.
1 North Wealth Services has custody of $159.93 million in cash and securities for 237 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 79% of the total AUM. The second-largest asset type is investment and business development companies, which make up 11% of the firm’s portfolio. Investments in cash and cash equivalents form 9% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay 1 North Wealth Services, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. 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 1 North Wealth Services serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of 1 North Wealth Services is high net worth individuals with 50 clients and $95.11 million of assets under management. Among the 10 most similar advisory firms, 1 North Wealth Services has the 4th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $168.65 million for 191 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.

1 North Wealth Services doesn't advise any private funds.

Careers at 1 North Wealth Services, LLC

The company employs 4 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 4 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates 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
Jay Colin Middleton Manager/principal 1 Dec 2000 Other 729104
Inc Jay Middleton Member 1 Jul 2003 50% - 75% 20-0067895
Linda Eiberger Lessey Member, chief compliance officer 1 Jun 2004 Other 4566021
Linda E Lessey Member, chief compliance officer 1 Jun 2004 25% - 50% 4566021
Inc Goal Focus Member 1 Mar 2006 25% - 50% 20-3933529
James Edward Brennan Principal/chief compliance officer 1 Feb 2018 75% - 100% 2717083

Indirect Owners

The SEC currently registers 4 indirect owners.

Name Entity Date acquired Ownership Employer ID
Linda Eiberger Lessey Secretary, jay middleton, inc. 1 Jul 2003 50% - 75% 4566021
Jay Colin Middleton President, jay middleton, inc. 1 Jul 2003 50% - 75% 729104
Linda E Lessey Secretary, jay middleton, inc. 1 Jul 2003 50% - 75% 4566021
James Edward Brennan Principal, goal focus, inc 1 Jan 2006 75% - 100% 2717083

Based in Annapolis

The principal office where 1 North Wealth Services, LLC performs its advisory services is located at 1997 Annapolis Exchange Parkway, Annapolis, MD 21401, 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 410-975-0099 or by fax 855-331-3998. The normal business hours are 9am-5pm on Monday - Friday. You can find more information about the New York firm at mggadvisors.com.