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Otto & Associates, Inc.

Otto & Associates, Inc.. CRD 109493

Otto & Associates, Inc. logo

CRD: 109493

Otto & Associates, Inc.

Norwich, VT, 05055
8026491946
$286.6M Total AUM
$286.6M Disc. AUM
14.2% 3Y CAGR
6 Employees
152 ADV. Clients
25 yrs Firm Age

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Firm Details

Custodian
Charles Schwab & Company ยท Tiaa
Clients
Retail and Institutional
Platforms
Catalyst bridge
Established Date
11-24-2000
Office Locations
1

Office Locations

16 Beaver Meadow Road Norwich VT

About Otto & Associates, Inc.

Otto & Associates, Inc. is a fee-only, fiduciary financial planning and investment management firm providing integrated retirement, estate, tax, insurance, college, cash-flow, and charitable planning. The team manages portfolios using vehicles such as mutual funds and ETFs and does not sell products, take commissions, or accept referral fees. Client assets are custodied with Charles Schwab.

Team overview

67 AVG AGE
$95.5M AVG AUM / ADVISOR
$1.9M AVG AUM / CLIENT
14 yrs AVG TENURE
6 Employees
3 Advisory Reps
3 RIA Reps
25yrs Firm Age

Insights

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Asset Classes

Capital legacy Legacy timber Ember

Custodian

Momentum vital

Investment Themes

Element frontier Element peak

Investment Vehicles

Matrix delta Timber

Services

Value wave Ridge Vector north Atlas Atlas eagle Horizon Focus Matrix zenith Prime North

Technology

Bridge vital

Owner & Executives

S

SUSAN OTTO GOODELL

Chief Compliance Officer, Chief Executive Officer, President

CRD
#5895496
Ownership
50% but less than 75%
(601) 923-2466
unison.fusion@zenithcapital.com
in linkedin.com/in/crest-beacon
D

DAVID WILLIAM OTTO

Certified Financial Planner

CRD
#4364736
Ownership
25% but less than 50%
(807) 407-1841
focus.radial@radialcapital.com
in linkedin.com/in/crest-frontier
N

North north

Eagle zenith

CRD
#68928
Ownership
16.5%
(401) 339-2780
peak.beacon@focuscapital.com
in linkedin.com/in/frontier-frontier

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Contacts

D

Deborah L Maher

Financial Advisor, General Partner

CRD
#7429053
(313) 392-4094
value.optima@focuscapital.com
in linkedin.com/in/ridge-insight

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Assets Under Management

Total AUM
Discretionary
Non-Discretionary
03-17-2022
04-12-2023
03-25-2024
03-18-2025
03-26-2026
Category Assets AVG. Account size
Discretionary $286,640,870 $455,709
Non-Discretionary $0 --
Total $286,640,870 $455,709

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Separately Managed Accounts

Total SMA Asset: $286,640,870

$286.6M Total SMA
Public Funds:
29.9%
Cash:
18.8%
Private Funds:
30.6%
Equity - Exchange:
20.7%
Asset class Assets Assets %
Public Funds $717,022,593 29.9%
Cash $450,836,948 18.8%
Private Funds $733,809,075 30.6%
Equity - Exchange $496,400,257 20.7%
Total $2,398,068,873 100.0%

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