Mazzone & Associates, LLC

Overview

Mazzone & Associates, LLC is organized as a limited liability company and is recorded in FINTRX as an SEC-registered entity with a registration year of 2026. The firm is classified as an investment bank and is owned by an individual, which suggests a small, manager-led structure rather than a large institutional RIA platform. FINTRX flags the firm as not operating as a capital allocator and not engaging as an active ESG investor. It is not listed as a multi-state adviser, not a pension consultant, and is not identified as a related adviser. Those attributes point toward a narrow regulatory and operational footprint focused on investment-banking-type activities rather than broad, cross-jurisdictional advisory or institutional asset-allocation services. The firm record in FINTRX does not include details on client segments, fee schedules, specific business lines, or advisory activities, so there is limited publicly reported information about how the firm sources revenue or the products and services it offers to clients.