AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $0.0 |
| Non-Discretionary | $0.0 |
| Total | $0.0 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.0 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.0 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 0% | $0.0 |
| Other | 0% | $0.0 |
| Total | 0% | $0.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| BOFA SECURITIES JAPAN CO., LTD. | $0.0 | broker-dealer | - |
| BANK OF AMERICA EUROPE DESIGNATED ACTIVITY COMPANY, SUCURSAL EN ESPAÑA | $0.0 | broker-dealer | - |
| MERRILL LYNCH SECURITIES (TAIWAN) LTD. | $0.0 | broker-dealer | - |
| MERRILL LYNCH ISRAEL LIMITED | $0.0 | broker-dealer | - |
| MERRILL LYNCH INTERNATIONAL (DIFC BRANCH) | $0.0 | broker-dealer | - |
| MERRILL LYNCH EQUITIES (AUSTRALIA) LIMITED | $0.0 | broker-dealer | - |
| MERRILL LYNCH MARKETS SINGAPORE PTE.LTD. | $0.0 | broker-dealer | - |
| BOFA SECURITIES EUROPE SA | $0.0 | broker-dealer | - |
| BANK OF AMERICA EUROPE DESIGNATED ACTIVITY COMPANY, FRANKFURT | $0.0 | broker-dealer | - |
| MERRILL LYNCH, KINGDOM OF SAUDI ARABIA COMPANY | $0.0 | broker-dealer | - |
| MERRILL LYNCH SOUTH AFRICA PROPRIETARY LIMITED | $0.0 | broker-dealer | - |
| MERRILL LYNCH CANADA INC. | $0.0 | broker-dealer | - |
| MERRILL LYNCH ARGENTINA S.A. | $0.0 | broker-dealer | - |
| BANK OF AMERICA EUROPE DESIGNATED ACTIVITY COMPANY, MILAN BRANCH | $0.0 | broker-dealer | - |
| MERRILL LYNCH (ASIA PACIFIC) LIMITED | $0.0 | broker-dealer | - |
| MERRILL LYNCH INTERNATIONAL, LLC-SEOUL BRANCH | $0.0 | broker-dealer | - |
| BOFA SECURITIES INDIA LIMITED | $0.0 | broker-dealer | - |
| MERRILL LYNCH S.A. CORRETORA DE TITULOS E VALORES MOBILARIOS | $0.0 | broker-dealer | - |
| BANK OF AMERICA, NATIONAL ASSOCIATION | $0.0 | broker-dealer | - |
| MERRILL LYNCH MEXICO, S.A. DE C.V., CASA DE BOLSA | $0.0 | broker-dealer | - |
| MERRILL LYNCH INTERNATIONAL | $0.0 | broker-dealer | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
10 active
| Name | Title |
|---|---|
| GUARDINO, JOSEPH ANTHONY JR | CHIEF OPERATIONS OFFICER & FINOP |
| RAE, GLEN ALEXANDER | CHIEF LEGAL OFFICER |
| ALAM, SYED FARUQE | CHIEF FINANCIAL OFFICER |
| ZUBERI, SOOFIAN J J | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL |
| CHEPUCAVAGE, LAURA P | DIRECTOR, STATE DESIGNATED PRINCIPAL |
| GADKARI, SARANG RAJAN | DIRECTOR |
| BHATIA, KASHYAP P | CHIEF COMPLIANCE OFFICER / BROKER DEALER |
| BLISS, CLAIRE RENEE | CHIEF COMPLIANCE OFFICER / REGISTERED INVESTMENT ADVISER |
ADVDB.CO • SOURCE: SEC
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-08-01 | $0.0 | $0.0 | 0% | 317 | 0 | 0% |
| 2025-04-21 | $0.0 | $0.0 | 0% | 319 | -2 | -1% |
| 2024-04-02 | $0.0 | $0.0 | 0% | 314 | 3 | 1% |
| 2023-04-04 | $0.0 | $0.0 | 0% | 348 | -31 | -9% |
| 2022-04-01 | $0.0 | $0.0 | 0% | 242 | 75 | 31% |
| 2021-04-05 | $0.0 | $0.0 | 0% | 313 | 4 | 1% |
| 2020-04-01 | $0.0 | $0.0 | 0% | 300 | 17 | 6% |
| 2019-04-01 | $0.0 | $0.0 | 0% | 293 | 24 | 8% |
| 2018-04-02 | $0.0 | $0.0 | 0% | 293 | 24 | 8% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| NY, CA-03/29/2018, DC-03/29/2018 |
| ADVISER ACTIVITIES |
|
NEWSLETTERS |
| OTHER ACTIVITIES |
|
BROKER DEALER FUTURES MERCHANT |
ADVDB.CO • SOURCE: SEC FORM ADV