PARK AVENUE SECURITIES LLC

Latest filing: Mar 19, 2025 (136 days ago)
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AUM

$14,998,852,974
26% change vs. 1 year ago
41% change vs. 3 years ago
163% change vs. 5 years ago
147% change vs. 10 years ago

Employee Count

1,984
8% change vs. 1 year ago
10% change vs. 3 years ago
14% change vs. 5 years ago
23% change vs. 10 years ago

Main Office

NEW YORK, NY
10 HUDSON YARDS, NEW YORK, NY, UNITED STATES, 10001

Client AUM

Discretion AUM
Discretionary $13.1
Non-Discretionary $1.9
Total $15.0
Client AUM
Retail $14.2
Pooled $0.0
Institutional $0.8
Total $15.0
Retail Accounts AUM
Individual 55,467 $7.2
Average Individual AUM $130,685
HNW 14,054 $7.0
Average HNW AUM $496,365
Retail Total 69,521 $14.2
Average Retail AUM $204,609

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian Location AUM

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown AUM
Total SMA AUM $15.0
Retail SMA AUM $14.2
Institutional SMA AUM $0.8
Asset Class % AUM
Equity Exch 73% $10.9
Equity Non-Exch 0% $0.0
Govt Agency 1% $0.1
Municipal 3% $0.4
Sovereign 0% $0.0
IG Credit 1% $0.1
HY Credit 0% $0.0
Derivatives 0% $0.0
Investment Companies 19% $2.8
Other Pools 0% $0.0
Cash 3% $0.4
Other 0% $0.0
Total 100% $15.0

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates AUM Business Types CRD Number
PARK AVENUE INSTITUTIONAL ADVISERS LLC $76.0 175101
BROADSHORE CAPITAL PARTNERS, LLC $1.1 119200
PARK AVENUE INVESTMENT ADVISORY, LLC $0.1 310203
THE GUARDIAN INSURANCE & ANNUITY COMPANY, INC $0.0 -
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA $0.0 -

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

11 active

Name Title
FERIK, MICHAEL NICHOLAS ELECTED MEMBER
BOGGS, ALLEN WARREN HEAD OF PRODUCT & SUPERVISION
HERGAN, JOSHUA NEIL GENERAL COUNSEL
LESINA, LEYLA ADA ELECTED MEMBER
MAHER, CARLY PRITCHARD HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS
CASWELL, MARIANNE GRACE PRESIDENT AND ELECTED MEMBER
WALTER, JOHN HAROLD FINOP/PRINCIPAL FINANCIAL OFFICER
RYNIKER, MICHAEL JOHN PRINCIPAL OPERATIONS OFFICER
DESROCHERS, CARL ELECTED MEMBER
BUTSCHER, JEFFREY JOSEPH INTERIM CHIEF COMPLIANCE OFFICER

ADVDB.CO • SOURCE: SEC

Representatives

1,739 active representatives found, showing 20 random

Name City State Exams Designations
ANDREW ROBERSON NEW YORK NY S66|2005-01-26 CERTIFIED FINANCIAL PLANNER
RICHARD SHURMER NEW YORK NY S63|1994-04-14|S65|1999-07-09
NICHOLAS CHIERA NEW YORK NY S66|2023-03-07
LAWRENCE KELLER NEW YORK NY S63|1991-11-26|S65|1999-11-12 CERTIFIED FINANCIAL PLANNER|CHARTERED FINANCIAL CONSULTANT
ROBERT LOSCALZO NEW YORK NY S66|2008-05-23 CHARTERED FINANCIAL CONSULTANT
REINO TRUUMEES NEW YORK NY S63|2011-02-18|S65|2011-09-28
ERIC ABRAMSON NEW YORK NY S63|2002-01-31|S65|2001-03-15|S66|2001-02-09
RALPH BARDEN NEW YORK NY S63|1986-10-23
JOHN AKOURY NEW YORK NY S66|2003-08-22 CERTIFIED FINANCIAL PLANNER
NICOLAS SULLIVAN NEW YORK NY S66|2017-11-02
MARC MICHALAK NEW YORK NY S63|1996-01-26 CERTIFIED FINANCIAL PLANNER
SAMUEL LINGO NEW YORK NY S66|2021-08-04
CHRISTIAN MORALES NEW YORK NY S65|2020-09-10
THOMAS YOUNGMAN NEW YORK NY S63|2007-09-28
YAN KATZ NEW YORK NY S63|2010-06-03|S65|2017-12-13
THOMAS DOGAS NEW YORK NY S66|2018-12-04
JASON KORZAN NEW YORK NY S66|2019-11-05
SAMUEL OCEGUERA NEW YORK NY S66|2007-11-29
SARAH RUTHERFORD NEW YORK NY S66|2019-11-18
KYLE RICHERT NEW YORK NY S66|2016-02-09

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2025-06-02 $15.0 $0.0 0% 1,984 0 0%
2025-04-21 $15.0 $0.0 0% 1,984 0 0%
2024-04-02 $11.9 $3.1 26% 1,841 143 8%
2023-04-04 $9.9 $5.1 51% 1,825 159 9%
2022-04-01 $10.6 $4.4 41% 1,811 173 10%
2021-04-05 $7.6 $7.4 98% 1,803 181 10%
2020-04-01 $5.7 $9.3 163% 1,745 239 14%
2019-04-01 $4.0 $11.0 273% 1,777 207 12%
2018-04-02 $3.4 $11.6 341% 1,708 276 16%
2017-04-01 $7.2 $7.8 108% 1,719 265 15%
2016-04-01 $6.6 $8.4 126% 1,663 321 19%
2015-04-01 $6.1 $8.9 147% 1,618 366 23%
2014-04-01 $5.6 $9.4 167% 1,702 282 17%
2013-04-01 $4.6 $10.4 229% 1,583 401 25%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS
NY, AK-01/04/2002, AL-01/17/2001, AR-01/01/2001, AZ-01/01/2001, CA-01/01/2001, CO-12/01/2000, CT-01/02/2001, DC-02/01/2001, DE-06/19/2003, FL-04/30/2001, GA-03/20/2001, HI-11/30/2000, IA-01/01/2001, ID-05/10/2001, IL-12/18/2000, IN-01/02/2001, KS-05/24/2001, KY-12/27/2000, LA-01/01/2001, MA-01/01/2001, MD-01/01/2001, ME-01/01/2001, MI-03/20/2001, MN-03/20/2001, MO-01/01/2001, MS-01/01/2001, MT-04/11/2001, NC-05/23/2001, ND-01/02/2001, NE-01/01/2001, NH-01/01/2001, NJ-12/05/2000, NM-01/02/2001, NV-01/02/2001, NY-01/27/2000, OH-01/01/2001, OK-01/22/2001, OR-01/01/2001, PA-03/30/2011, PR-11/03/2017, RI-01/01/2001, SC-01/02/2001, SD-12/20/2000, TN-01/01/2001, TX-04/27/1999, UT-01/01/2001, VA-01/01/2001, VI-07/15/2019, VT-01/03/2002, WA-12/04/2000, WI-12/22/2000, WV-01/01/2001, WY-07/20/2017
ADVISER ACTIVITIES
FINANCIAL PLANNING
PORTFOLIO MANAGEMENT
MANAGER SELECTION
EDUCATIONAL WORKSHOPS
OTHER ACTIVITIES
BROKER DEALER

ADVDB.CO • SOURCE: SEC FORM ADV