{
  "crd_number": 129318,
  "slug": "ambrozy-and-associates-inc-spring-lake-nj-129318",
  "primary_business_name": "AMBROZY & ASSOCIATES, INC.",
  "legal_name": "AMBROZY & ASSOCIATES, INC.",
  "dbas": [],
  "city": "Spring Lake",
  "state": "NJ",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "1997-01-14",
  "years_registered": 29,
  "period": "2026-10-01",
  "filing_date": "2012-11-07",
  "carried_forward": false,
  "raum_total": 1557580.0,
  "raum_discretionary": 1557580.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "under_25m",
  "raum_band_label": "Under $25 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": null,
  "compensation_types": [
    "commissions",
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": null,
  "disclosure_yes_count": 1,
  "states_registered": [
    "NJ"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/129318",
  "disclosure_items": [
    {
      "item": "11.E(4)",
      "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?"
    }
  ],
  "city_as_filed": "SPRING LAKE",
  "url": "https://advisorcensus.com/firm/ambrozy-and-associates-inc-spring-lake-nj-129318",
  "display_name": "Ambrozy & Associates, Inc.",
  "summary": "Ambrozy & Associates, Inc. is a state-registered investment advisory firm in Spring Lake, NJ, registered since 1997, reporting under $25 million in regulatory assets under management in its Form ADV filing dated November 7, 2012.",
  "citation": "AdvisorCensus. Ambrozy & Associates, Inc. (CRD 129318): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)",
    "Commissions"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Pension consulting services"
  ],
  "quick_answers": [
    {
      "q": "How is Ambrozy & Associates, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Ambrozy & Associates, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); commissions. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Ambrozy & Associates, Inc. located?",
      "a": "Ambrozy & Associates, Inc.'s principal office is in Spring Lake, NJ, according to its Form ADV."
    },
    {
      "q": "Is Ambrozy & Associates, Inc. registered with the SEC or a state?",
      "a": "Ambrozy & Associates, Inc. is a state-registered investment advisory firm, registered since 1997. Status as filed: APPROVED. CRD 129318."
    },
    {
      "q": "How much does Ambrozy & Associates, Inc. manage?",
      "a": "Ambrozy & Associates, Inc. reports $1,557,580 in regulatory assets under management in its Form ADV filing dated November 7, 2012 (100% discretionary)."
    },
    {
      "q": "Does Ambrozy & Associates, Inc. report any disciplinary disclosures?",
      "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/129318"
    }
  ],
  "filing_history": [],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/ambrozy-and-associates-inc-spring-lake-nj-129318.md",
  "clients": [],
  "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/129318",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}