TOCQUEVILLE ASSET MANAGEMENT LP
Latest filing: Mar 18, 2025 (91 days ago)
AUM
$9,360,513,418
6% change vs. 1 year ago
-3% change vs. 3 years ago
20% change vs. 5 years ago
-29% change vs. 10 years ago
Employee Count
70
-5% change vs. 1 year ago
-12% change vs. 3 years ago
-22% change vs. 5 years ago
-36% change vs. 10 years ago
Main Office
NEW YORK, NY
40 WEST 57TH STREET, NEW YORK, NY, UNITED STATES, 10019
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $9.3 |
| Non-Discretionary | $0.0 |
| Total | $9.4 |
| Client | AUM |
|---|---|
| Retail | $6.1 |
| Pooled | $0.6 |
| Institutional | $2.7 |
| Total | $9.4 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 472 | $0.4 |
| Average Individual AUM | $747,407 | |
| HNW | 739 | $5.7 |
| Average HNW AUM | $7,754,492 | |
| Retail Total | 1,211 | $6.1 |
| Average Retail AUM | $5,023,406 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| PERSHING LLC | JERSEY CITY-NJ-USA | $5.1 |
| NORTHERN TRUST (GUERNSEY) LIMITED | ST PETER PORT--GGY | $1.0 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $8.7 |
| Retail SMA AUM | $6.1 |
| Institutional SMA AUM | $2.7 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 77% | $6.7 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 5% | $0.4 |
| Municipal | 2% | $0.2 |
| Sovereign | 0% | $0.0 |
| IG Credit | 4% | $0.3 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 6% | $0.5 |
| Other Pools | 0% | $0.0 |
| Cash | 6% | $0.5 |
| Other | 0% | $0.0 |
| Total | 100% | $8.7 |
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 |
|---|---|---|---|
| TOCQUEVILLE PARTNERS LLC | $0.0 | - | |
| TOCQUEVILLE SECURITIES L.P. | $0.0 | broker-dealer | 26001 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
16 active
| Name | Title |
|---|---|
| KLEINSCHMIDT, ROBERT, WILLIAM | CHAIRMAN OF GP, SHAREHOLDER |
| KLEINSCHMIDT, ALEXANDER, WILLIAM | TRUSTEE, TRUSTEE |
| KLEINSCHMIDT, PAUL, J | TRUSTEE, TRUSTEE, CEO & PRESIDENT OF GP |
| KLEINSCHMIDT, LARA R. | TRUSTEE |
| KLEINSCHMIDT, LARA, R | TRUSTEE |
| KLEINSCHMIDT, KIM A | TRUSTEE |
| KLEINSCHMIDT, KIM, ALAN | TRUSTEE |
| GRAHAM, KELSEY, DUBOIS | CHIEF COMPLIANCE OFFICER |
| SCHLESINGER, SCOTT, IRA | CHIEF OPERATING OFFICER AND VICE PRESIDENT OF GP |
| ZATKOWSKY, JEFFREY, LANCE | CHIEF FINANCIAL OFFICER |
ADVDB.CO • SOURCE: SEC
Representatives
34 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| PAUL KLEINSCHMIDT | NEW YORK | NY | |||||||
| VINCENT SELLECCHIA | NEW YORK | NY | S63|1979-10-10 | ||||||
| ANTHONY BALESTRIERI | NEW YORK | NY | S65|1993-12-09 | ||||||
| GEORGE MCAULIFFE | NEW YORK | NY | S63|2003-06-30 | ||||||
| JOSE GUARDADO | NEW YORK | NY | S66|2002-11-20 | ||||||
| BENNER ULRICH | NEW YORK | NY | S63|2000-09-13 | ||||||
| HEATHER GUARDADO | NEW YORK | NY | |||||||
| IRVIN CHERASHORE | NEW YORK | NY | S63|1991-07-09 | ||||||
| ROBERT KLEINSCHMIDT | NEW YORK | NY | S63|1982-04-06 | ||||||
| NORMAN ADAMS | NEW YORK | NY | S63|1980-02-25|S65|1992-10-08 | ||||||
| JAMES HUNT | NEW YORK | NY | S63|1997-02-18 | ||||||
| HEATHER PERLMUTTER | NEW YORK | NY | S63|1989-02-01|S65|1996-09-09 | ||||||
| NICHOLAS CARLOZZI | NEW YORK | NY | S63|1997-04-29|S65|2004-09-15 | ||||||
| RODMAN MOORHEAD IV | NEW YORK | NY | |||||||
| MATTHEW CHERASHORE | NEW YORK | NY | S63|2005-02-04|S65|2009-09-23 | ||||||
| PETER OSTBERG | NEW YORK | NY | S63|2004-11-22 | ||||||
| JOHN ORES | NEW YORK | NY | S66|2018-01-16 | CHARTERED FINANCIAL ANALYST | |||||
| MICHAEL BERTASH | NEW YORK | NY | S63|2011-01-28|S65|1994-07-12 | ||||||
| LAWRENCE FIELDS | NEW YORK | NY | S63|1985-12-20|S65|1996-09-09 | ||||||
| JOSHUA KAUFTHAL | NEW YORK | NY | S63|2001-03-12 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $9.4 | $0.0 | 0% | 70 | 0 | 0% |
| 2025-04-21 | $9.4 | $0.0 | 0% | 70 | 0 | 0% |
| 2024-04-02 | $8.9 | $0.5 | 6% | 74 | -4 | -5% |
| 2023-04-04 | $7.9 | $1.4 | 18% | 75 | -5 | -7% |
| 2022-04-01 | $9.6 | -$0.3 | -3% | 80 | -10 | -12% |
| 2021-04-05 | $9.1 | $0.3 | 3% | 81 | -11 | -14% |
| 2020-04-01 | $7.8 | $1.6 | 20% | 90 | -20 | -22% |
| 2019-04-01 | $10.9 | -$1.5 | -14% | 107 | -37 | -35% |
| 2018-04-02 | $12.7 | -$3.3 | -26% | 107 | -37 | -35% |
| 2017-04-01 | $12.4 | -$3.1 | -25% | 115 | -45 | -39% |
| 2016-04-01 | $11.3 | -$1.9 | -17% | 114 | -44 | -39% |
| 2015-04-01 | $13.2 | -$3.8 | -29% | 110 | -40 | -36% |
| 2014-04-01 | $12.6 | -$3.3 | -26% | 107 | -37 | -35% |
| 2013-04-01 | $11.5 | -$2.2 | -19% | 118 | -48 | -41% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| NY, AK-03/26/2008, AL-03/26/2008, AR-03/26/2008, AZ-12/11/2006, CA-02/11/2002, CO-03/20/2007, CT-02/11/2002, DC-04/30/2007, DE-04/02/2008, FL-02/01/2001, GA-04/07/2004, HI-03/26/2008, IA-03/22/2007, ID-03/26/2008, IL-02/13/2002, IN-03/26/2008, KS-03/26/2008, KY-03/26/2008, LA-03/26/2008, MA-04/07/2004, MD-04/30/2007, ME-04/30/2007, MI-03/31/2005, MN-03/26/2008, MO-03/26/2008, MS-03/26/2008, MT-03/26/2008, NC-03/26/2008, ND-03/26/2008, NE-03/26/2008, NH-03/26/2008, NJ-05/05/2004, NM-03/26/2008, NV-03/26/2008, NY-02/01/2001, OH-02/11/2002, OK-10/19/2000, OR-03/26/2008, PA-04/30/2007, PR-03/26/2008, RI-03/29/2006, SC-03/26/2008, SD-03/26/2008, TN-02/12/2002, TX-03/29/2006, UT-03/26/2008, VA-03/20/2007, VI-03/26/2008, VT-04/30/2007, WA-03/26/2008, WI-04/30/2007, WV-03/26/2008, WY-03/31/2018 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV