AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $13.3 |
| Non-Discretionary | $2.6 |
| Total | $15.8 |
| Client | AUM |
|---|---|
| Retail | $15.8 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $15.8 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 143 | $15.8 |
| Average HNW AUM | $110,387,459 | |
| Retail Total | 143 | $15.8 |
| Average Retail AUM | $110,387,459 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| NATIONAL FINANCIAL SERVICES | BOSTON-MA-USA | $3.6 |
| PERSHING LLC | JERSEY CITY-NJ-USA | $2.9 |
| CHARLES SCHWAB & CO., INC. | SAN FRANCISCO-CA-USA | $2.5 |
| JP MORGAN CHASE BANK NA | NEW YORK-NY-USA | $1.5 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $15.8 |
| Retail SMA AUM | $15.8 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 65% | $10.3 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 18% | $2.8 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 3% | $0.5 |
| Other Pools | 4% | $0.6 |
| Cash | 1% | $0.2 |
| Other | 9% | $1.4 |
| Total | 100% | $15.8 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| ALLEN & COMPANY LLC | $0.0 | broker-dealer | 1042 |
| ACIA ASSET ALLOCATION GP LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
8 active
| Name | Title |
|---|---|
| DIIORIO, PETER | GENERAL COUNSEL |
| ALLEN, HERBERT, III, ANTHONY | PRESIDENT, SHAREHOLDER |
| CHACHRA, ASHOK, BHUSHAN | MANAGING DIRECTOR |
| VAHABZADEH, SALIMA | CHIEF FINANCIAL OFFICER |
| RAJASEKHARAIAH, PRUTHVI | CHIEF OPERATING OFFICER |
| GOLINSKY, JODI | CHIEF COMPLIANCE OFFICER & DEPUTY GENERAL COUNSEL |
ADVDB.CO • SOURCE: SEC
7 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| ELIZABETH STAHL | NEW YORK | NY | S63|2008-08-19 | CHARTERED FINANCIAL ANALYST | |||||
| ASHOK CHACHRA | NEW YORK | NY | |||||||
| SAMUEL BAKER | NEW YORK | NY | S63|1991-08-15 | ||||||
| ARVIND RANGARAJ | NEW YORK | NY | CHARTERED FINANCIAL ANALYST | ||||||
| TIMOTHY ERB | NEW YORK | NY | S63|2006-07-19 | ||||||
| CATHERINE TSE | NEW YORK | NY | S63|1998-09-26 | ||||||
| JORGE SUAREZ-VELEZ | NEW YORK | NY | S63|2005-04-18 | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-06-02 | $15.8 | $0.0 | 0% | 29 | 0 | 0% |
| 2025-04-21 | $15.8 | $0.0 | 0% | 29 | 0 | 0% |
| 2024-04-02 | $13.8 | $2.0 | 15% | 31 | -2 | -6% |
| 2023-04-04 | $11.4 | $4.4 | 38% | 31 | -2 | -6% |
| 2022-04-01 | $13.6 | $2.3 | 17% | 31 | -2 | -6% |
| 2021-04-05 | $10.4 | $5.4 | 52% | 31 | -2 | -6% |
| 2020-04-01 | $9.0 | $6.9 | 77% | 28 | 1 | 4% |
| 2019-04-01 | $5.5 | $10.3 | 186% | 25 | 4 | 16% |
| 2018-04-02 | $4.7 | $11.1 | 235% | 21 | 8 | 38% |
| 2017-04-01 | $3.4 | $12.5 | 372% | 20 | 9 | 45% |
| 2016-04-01 | $2.5 | $13.3 | 526% | 17 | 12 | 71% |
| 2015-04-01 | $2.8 | $13.1 | 470% | 30 | -1 | -3% |
| 2014-04-01 | $2.3 | $13.5 | 583% | 33 | -4 | -12% |
| 2013-04-01 | $2.4 | $13.4 | 557% | 30 | -1 | -3% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| NY, CA-03/31/2015, CT-03/28/2020, DE-03/31/2021, FL-03/31/2021, MA-03/31/2015, NY-04/11/2003, TX-03/28/2020 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (POOLS) MANAGER SELECTION |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV