AEM Asset Management provides financial planning and portfolio management for individuals and small businesses.
AEM Asset Management reports 45 clients. They include 22 individual clients, 22 high-net-worth individuals and 1 charitable organization. Of its assets, 100.0% ($118M across 45 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 49% | 6% |
| High-net-worth individuals | 49% | 82% |
| Charitable organizations | 2% | 12% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 22 | $7.01M | 5.9% | $319K |
| High-net-worth individuals | 22 | $96.9M | 82.2% | $4.4M |
| Charitable organizations | Fewer than 5 | $14M | 11.9% | $14M |
| Total | 45 | $118M | 100% | — |
- Clients
- 22
- Regulatory AUM
- $7.01M
- AUM share
- 5.9%
- Avg. per client
- $319K
- Clients
- 22
- Regulatory AUM
- $96.9M
- AUM share
- 82.2%
- Avg. per client
- $4.4M
- Clients
- Fewer than 5
- Regulatory AUM
- $14M
- AUM share
- 11.9%
- Avg. per client
- $14M
Total
- Clients
- 45
- Regulatory AUM
- $118M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
AEM Asset Management charges up to 1.75% a year for its Portfolio Management Services. The fee is billed in arrears and is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial Planning Services
- Negotiable fixed fee that generally ranges from $250 to $1,000, or an hourly fee of $100 to $300 depending on scope.
Rosenberg Rich Baker Berman & Company owns 50% to 75% of AEM Asset Management. The leadership team of AEM Asset Management includes Chief Compliance Officer Susan Dumont. It has 2 employees.
Leadership
- Susan DumontChief Compliance Officer
- Eric SchwartzManaging Member
Investment adviser representatives
2 representatives listed in the SEC register as of 9 October 2026.
Staff
- 2 employees
- 2 in advisory functions
- 2 state-registered reps
- 1 soliciting firm
- Owns 50% to 75% of Aem Asset Management, LLC
Rosenberg Rich Baker Berman & Company
Control person · since May 2020
- Owns 25% to 50% of Aem Asset Management, LLC
Eric Schwartz
Control person · since May 2020
AEM Asset Management’s regulatory assets fell from $131M (March 2021) to $118M (March 2026); clients were 45 in both filings and employees were 2 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $118M | 45 | 2 | 2 |
| March 2025 | $122M | 45 | 2 | 2 |
| March 2024 | $128M | 45 | 2 | 2 |
| March 2023 | $131M | 49 | 2 | 2 |
| March 2022 | $147M | 49 | 2 | 2 |
| March 2021 | $131M | 46 | 2 | 2 |
Besides its headquarters, AEM Asset Management has 1 office (1 private residence, listed without an address), with 1 listed address in New Jersey.
New Jersey · 1 listed address
- 265 Davidson Avenue, Suite 210, SomersetHQ
Contact and registration details
- Legal name
- Aem Asset Management, LLC
- Headquarters
- 265 Davidson Avenue, Suite 210, Somerset, NJ 08873
- Website
- aemadvisory.com
- Phone
- 973-714-6437
- SEC file
- 801-119397
- Structure
- New Jersey LLC
- Fiscal year end
- December
AEM Asset Management uses Interactive Brokers ($118M) as custodian for its separately managed accounts. AEM Asset Management does not have custody of client assets.
- Interactive BrokersInteractive Brokers LLC · Greenwich, CT · $118M100%
At year end, AEM Asset Management’s separately managed accounts were mostly in stocks (85%) and bonds (10%).
What the accounts hold
- Stocks85%
- Funds3%
- Bonds10%
- U.S. government and agency bonds5%
- State and local bonds5%
- Cash2%
How many clients does AEM Asset Management have?
AEM Asset Management has 45 clients and manages $118 million for them, as of March 2026. They include 22 individual clients, 22 high-net-worth individuals and 1 charitable organization.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026
What services does AEM Asset Management offer?
AEM Asset Management provides financial planning and portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does AEM Asset Management charge?
AEM Asset Management charges up to 1.75% a year for its Portfolio Management Services. The fee is billed in arrears and is negotiable.
Source: AEM ASSET MANAGEMENT FORM ADV PART IIA 2026, filed 30 March 2026
Which custodians does AEM Asset Management use?
AEM Asset Management’s separately managed account assets are held at Interactive Brokers LLC (Greenwich, CT), with $118M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026
How many financial advisors does AEM Asset Management have?
AEM Asset Management has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does AEM Asset Management invest in?
At the end of its last fiscal year, AEM Asset Management’s separately managed accounts held 85% exchange-traded equities, 5% U.S. government and agency bonds, 5% state and local bonds, 3% registered funds (mutual funds, ETFs, BDCs) and 2% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns AEM Asset Management?
AEM Asset Management’s direct owners are Eric Schwartz (25% to 50%) and Rosenberg Rich Baker Berman & Company (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 30 March 2026
How does AEM Asset Management get paid?
AEM Asset Management is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is AEM Asset Management registered with the SEC?
Yes, AEM Asset Management has been registered with the SEC as an investment adviser since 3 September 2020. Its CRD number is 310360 and its SEC file number is 801-119397.
Source: Form ADV Part 1A, Item 1, filed 30 March 2026; IAPD firm record
How do I contact AEM Asset Management?
AEM Asset Management’s main office is at 265 Davidson Avenue, Suite 210, Somerset, NJ 08873. Its phone number is 973-714-6437. Its website is aemadvisory.com.