Middleton Gardiner Group, LLC (Severna Park)


Middleton Gardiner Group, LLC is a large advisory firm based in Severna Park. It manages $168.74 million of regulatory assets for 400 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of District of Columbia, Florida, Maryland, Pennsylvania, and Virginia.

Middleton Gardiner Group provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

Middleton Gardiner Group: assets under management

The assets under management (AUM) of Middleton Gardiner Group, LLC is $168.74 million. The firm's AUM has grown by 275% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $166.56 million in discretionary accounts and $2.18 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $424.89 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $272.37 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Middleton Gardiner Group, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
N. Scott Gardiner President, the gardiner group, inc. 1 Jan 1979 50% - 75% 4687104
Karl J. Appel Vice-president, the gardiner group, inc. 1 Jan 2000 25% - 50% 4687105
Linda E Lessey Secretary, jay middleton, inc. 1 Jul 2003 50% - 75% 4566021
Jay Colin Middleton President, jay middleton, inc. 1 Jul 2003 50% - 75% 729104
James Edward Brennan Principal 1 Jan 2006 75% - 100% 2717083

Based in Severna Park

The principal office where Middleton Gardiner Group, LLC performs its advisory services is located at 572 Baltimore Annapolis Blvd, Severna Park, MD 21146, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 410-975-0099 or by fax 443-557-0862. The normal business hours are 9am-5pm on Monday - Friday. You can find more information about the New York firm at www.middletongardinergroup.com.