CIRCLE WEALTH MANAGEMENT, LLC

HTTPS://WWW.CIRCLEWM.COM SUMMIT, NJ Investment Advisor How do I update this listing?

Circle Wealth Management is based out of Summit. Circle Wealth Management is a large advisory firm with 107 clients and discretionary assets under management (AUM) of $1,192,653,808 (Form ADV from 2020-03-30). Their last reported 13F filing for Q1 2020 included $512,704,000 in managed 13F securities and a top 10 holdings concentration of 63.44%. Circle Wealth Management's largest holding is SPDR S&P 500 ETF Trust with shares held of 620,805. Circle Wealth Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 14 13F filings

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03/31/2020

13F Activity

  • Market Value $512.704 Million
  • Prior Market Value $577.497 Million
  • New Purchases33 stocks
  • Additional Purchases78 stocks
  • Sold out of30 stocks
  • Reduced holdings in71 stocks
  • Top 10 Holdings % 63.44 %
  • Turnover % [1]:32.81%
  • Turnover Alt % [2]: 24.24 %
  • Time Held Top20:7.00 quarters
  • Time Held Top10:6.50 quarters
  • Time Held All:5.58 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

03/31/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 28.14%
Performance Last 4 Quarters: -0.29%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

CIRCLE WEALTH MANAGEMENT, LLC
47 MAPLE STREET SUITE 201
SUMMIT NJ    07901
Country: United States

Business Phone: 908 206 1306
Fax: 908 277 3577
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 13
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities: 428,738,000
Total Number of Clients: 107
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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CIRCLE WEALTH MANAGEMENT, LLC

ownership team - last updated 2020-03-30
Name Title Start Date Direct/Indirect % Ownership

CIRCLE WEALTH MANAGEMENT, LLC

ownership team - last updated 2019-11-22
Name Title Start Date Direct/Indirect % Ownership
MLKS, LLC MEMBER 12/01/2006 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CIRCLE ASSET MANAGEMENT, LLC OWNER direct 2006-12-01
CIRCLE WEALTH MANAGEMENT, LLC MEMBER direct 2006-12-01
KATTAN-CHRIN, MARIA, LOURDES CEO/MANAGING PARTNER 12/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC MEMBER indirect 2006-12-01
CIRCLE ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
CIRCLE WEALTH MANAGEMENT, LLC CEO/MANAGING PARTNER direct 2006-12-01
BREAULT, KRISTEN, ANNE CHIEF COMPLIANCE OFFICER 12/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CIRCLE ASSET MANAGEMENT, LLC MEMBER direct 2006-12-01
CIRCLE WEALTH MANAGEMENT, LLC MEMBER direct 2007-01-01
CIRCLE WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2007-01-01
CIRCLE WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2007-12-01
AFK II LLC MEMBER 01/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC MEMBER direct 2011-01-01
CHRIN, JOHN, ROBERT MEMBER 02/01/2012 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC MEMBER direct 2012-02-01
Flath, Daniel, Michael VICE PRESIDENT 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2015-06-01
Cherashore, Lindsay, Ann VICE PRESIDENT 09/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2013-09-01
SHENLOOGIAN, LAUREN, M VICE PRESIDENT 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2014-01-01
KATTAN-CHRIN, MARIA, LOURDES MEMBER MLKS, LLC 12/01/2006 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC MEMBER indirect 2006-12-01
CIRCLE ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
CIRCLE WEALTH MANAGEMENT, LLC CEO/MANAGING PARTNER direct 2006-12-01
KAPLAN, ANN, FRANCES MEMBER AFK II LLC 01/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC MEMBER indirect 2011-01-01

CIRCLE WEALTH MANAGEMENT, LLC

ownership team - last updated 2019-03-28
Name Title Start Date Direct/Indirect % Ownership
MLKS, LLC MEMBER 12/01/2006 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CIRCLE ASSET MANAGEMENT, LLC OWNER direct 2006-12-01
CIRCLE WEALTH MANAGEMENT, LLC MEMBER direct 2006-12-01
KATTAN-CHRIN, MARIA, LOURDES CEO/MANAGING PARTNER 12/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC MEMBER indirect 2006-12-01
CIRCLE ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
CIRCLE WEALTH MANAGEMENT, LLC CEO/MANAGING PARTNER direct 2006-12-01
BREAULT, KRISTEN, ANNE CHIEF COMPLIANCE OFFICER 12/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CIRCLE ASSET MANAGEMENT, LLC MEMBER direct 2006-12-01
CIRCLE WEALTH MANAGEMENT, LLC MEMBER direct 2007-01-01
CIRCLE WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2007-01-01
CIRCLE WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2007-12-01
AFK II LLC MEMBER 01/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC MEMBER direct 2011-01-01
CHRIN, JOHN, ROBERT MEMBER 02/01/2012 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC MEMBER direct 2012-02-01
Flath, Daniel, Michael VICE PRESIDENT 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2015-06-01
Cherashore, Lindsay, Ann VICE PRESIDENT 09/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2013-09-01
SHENLOOGIAN, LAUREN, M VICE PRESIDENT 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2014-01-01
KATTAN-CHRIN, MARIA, LOURDES MEMBER MLKS, LLC 12/01/2006 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC MEMBER indirect 2006-12-01
CIRCLE ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
CIRCLE WEALTH MANAGEMENT, LLC CEO/MANAGING PARTNER direct 2006-12-01
KAPLAN, ANN, FRANCES MEMBER AFK II LLC 01/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC MEMBER indirect 2011-01-01

CIRCLE WEALTH MANAGEMENT, LLC

ownership team - last updated 2018-04-04
Name Title Start Date Direct/Indirect % Ownership
MLKS, LLC MEMBER 12/01/2006 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
CIRCLE ASSET MANAGEMENT, LLC OWNER direct 2006-12-01
CIRCLE WEALTH MANAGEMENT, LLC MEMBER direct 2006-12-01
KATTAN-CHRIN, MARIA, LOURDES CEO/MANAGING PARTNER 12/01/2006 Direct less than 5%
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC MEMBER indirect 2006-12-01
CIRCLE ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
CIRCLE WEALTH MANAGEMENT, LLC CEO/MANAGING PARTNER direct 2006-12-01
BREAULT, KRISTEN, ANNE CHIEF COMPLIANCE OFFICER 12/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CIRCLE ASSET MANAGEMENT, LLC MEMBER direct 2006-12-01
CIRCLE WEALTH MANAGEMENT, LLC MEMBER direct 2007-01-01
CIRCLE WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2007-01-01
CIRCLE WEALTH MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2007-12-01
AFK II LLC MEMBER 01/01/2011 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC MEMBER direct 2011-01-01
CHRIN, JOHN, ROBERT MEMBER 02/01/2012 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC MEMBER direct 2012-02-01
Flath, Daniel, Michael VICE PRESIDENT 06/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2015-06-01
Cherashore, Lindsay, Ann VICE PRESIDENT 09/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2013-09-01
SHENLOOGIAN, LAUREN, M VICE PRESIDENT 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC VICE PRESIDENT direct 2014-01-01
KATTAN-CHRIN, MARIA, LOURDES MEMBER MLKS, LLC 12/01/2006 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC MEMBER indirect 2006-12-01
CIRCLE ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2006-12-01
CIRCLE WEALTH MANAGEMENT, LLC CEO/MANAGING PARTNER direct 2006-12-01
KAPLAN, ANN, FRANCES MEMBER AFK II LLC 01/01/2011 Indirect Other
Fund Name Position direct/indirect start date end date
CIRCLE WEALTH MANAGEMENT, LLC MEMBER indirect 2011-01-01

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