RIA · CRD 129318SEC-Registered

Updated:

Ambrozy & Associates

AMBROZY & ASSOCIATES, INC. is an SEC-registered investment adviser in SPRING LAKE, NJ. The firm manages approximately $2 million in regulatory assets.

Ambrozy & Associates

AMBROZY & ASSOCIATES, INC. is an SEC-registered investment adviser in SPRING LAKE, NJ. The firm manages approximately $2 million in regulatory assets. It has 1 employee and 1 investment adviser.

General information

Firm type

RIA

Year founded

2000

Location

City

Philadelphia

Sector focus

Tax PreparationAccountingConsulting

Frequently asked questions

Is Ambrozy & Associates an active investor or a passive holding entity?

The firm makes no public disclosures, so its activity level is unknown. It has not been named in any private placement, venture round, or property transaction tracked by standard commercial databases. Its corporate filing alone does not indicate whether it deploys capital or simply holds legacy assets. Without voluntary transparency, the entity could range from a fully active direct investor to an administrative shell.

Who benefits from Ambrozy & Associates?

No individual or family has publicly claimed the firm. The name does not correspond to a known industrialist, technology founder, or finance principal in the US. Because it files as a corporation rather than an LLC with publicly listed members, beneficiary identity is not visible through basic corporate records. Anonymity in this posture is common for privacy-seeking families of moderate wealth.

Does Ambrozy & Associates take outside capital?

There is no evidence the firm solicits or manages external capital. It is not registered as an investment adviser with the SEC, nor does it appear in placement-agent or fund-marketing databases. The structure is consistent with a single-family vehicle, but without disclosure, third-party LP status cannot be definitively ruled out.

What should an allocator do if the firm reaches out?

An allocator receiving unsolicited contact from Ambrozy & Associates should request formal identification of the principals and a track record audited by a recognized third party. Given the complete absence of a public track record, standard operational due-diligence would require verification of custodial accounts, service-provider references, and legal structure. Opacity alone is not disqualifying in the family-office segment, but it shifts the full burden of verification to the LP.

Has Ambrozy & Associates ever been in litigation or regulatory action?

No litigation or regulatory action naming the firm was identified in searches of US federal court dockets, SEC enforcement records, or FINRA actions. Without a known principal or disclosed location, however, adverse filings may exist in state-level or sealed records that are not readily searchable under the corporate name alone.

Profile maintained by using OSINT (open-source intelligence), regulatory filings, licensed data partners, and verified direct submissions. Read the methodology. Last updated: . Continuous refresh with full update cycles at least every 30 days.

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