SM
CFA
SM
CFA

Scott M Mardy

8 Years of Experience
Broker
Areas of Practice
Investment ManagementRetirement PlanningSocially Responsible InvestingHigh Net Worth
Compensation
Fee-Only (AUM)
Firm Size
4 advisors
Number of Clients
2,083 clients
Average Client Portfolio
$1.7M average
Assets Under Management
$3.5B

Fee Structure

Minimum Investment:$100K
Financial Planning:Investment management only
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $2.0M0.75%
$2.0M - $4.0M0.60%
$4M+0.50%

In certain circumstances, the annual fee may be negotiated.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location

45 Pine Grove Avenue, Suite 305, Kingston, NY, 12401

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Scott works full-time as a Director of Sales, West for Miller Howard Investments, an investment management firm. This activity is investment-related.

Employment History
Current Registrations
Miller Howard Investments INC
March 2025 - Present · 11 mos
Foreside Fund Services, LLC
February 2024 - Present · 2 yrs
Foreside Fund Services, LLCBroker
February 2024 - Present · 2 yrs
Previous Registrations
Dfa Securities LLCBroker
September 2018 - December 2023 · 5 yrs 3 mos
Dimensional Fund Advisors LP
July 2018 - December 2023 · 5 yrs 5 mos
NFP Securities, INC.Broker
July 2010 - December 2010 · 5 mos
Citigroup Global Markets INC.Broker
October 2008 - September 2009 · 11 mos
State Registrations51 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.