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Berlin Financial, Ltd. (Cleveland)


Berlin Financial, Ltd. is an adviser based in Cleveland. It manages $6.08 million of regulatory assets for 62 client accounts. It has been registered with the SEC as an adviser since 2004.

Berlin Financial provides portfolio management for individuals and small businesses and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Berlin Financial: assets under management

The assets under management (AUM) of Berlin Financial, Ltd. is $6.08 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -85% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $6.08 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $98.14 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Berlin Financial, Ltd. for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 4 indirect owners.

Name Entity Date acquired Ownership Employer ID
Scott Thompson Berlin Trustee 1 Jul 2006 25% - 50% 3208015
Thomas George Berlin Trustee 1 Jan 2007 75% - 100% 19583
Joy Rotar Berlin Trustee 1 Jan 2007 75% - 100% 4739216
Jill Berlin Desantis Trustee 1 Mar 2008 25% - 50% 4739219

Based in Cleveland

The principal office where Berlin Financial, Ltd. performs its advisory services is located at 1325 Carnegie Avenue, Cleveland, OH 44115, which is also the mailing address of the firm. An additional office of the firm is in Venice, FL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 216-479-0400 or by fax 216-623-1787. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday.


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