AUM
Employee Count
Main Office
Discretion | AUM |
---|---|
Discretionary | $68.6 |
Non-Discretionary | $36.8 |
Total | $105.4 |
Client | AUM |
---|---|
Retail | $59.4 |
Pooled | $0.0 |
Institutional | $46.0 |
Total | $105.4 |
Retail | Accounts | AUM |
---|---|---|
Individual | 139,089 | $46.5 |
Average Individual AUM | $334,299 | |
HNW | 3,688 | $12.9 |
Average HNW AUM | $3,492,392 | |
Retail Total | 142,777 | $59.4 |
Average Retail AUM | $415,874 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
Custodian | Location | AUM |
---|---|---|
MORGAN STANLEY SMITH BARNEY LLC | NEW YORK-NY-USA | $41.0 |
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | NEW YORK-NY-USA | $15.0 |
UBS FINANCIAL SERVICES INC. | WEEHAWKEN-NJ-USA | $12.7 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Breakdown | AUM |
---|---|
Total SMA AUM | $105.4 |
Retail SMA AUM | $59.4 |
Institutional SMA AUM | $46.0 |
Asset Class | % | AUM |
---|---|---|
Equity Exch | 65% | $68.5 |
Equity Non-Exch | 0% | $0.0 |
Govt Agency | 8% | $8.4 |
Municipal | 11% | $11.6 |
Sovereign | 0% | $0.0 |
IG Credit | 7% | $7.4 |
HY Credit | 0% | $0.0 |
Derivatives | 0% | $0.0 |
Investment Companies | 7% | $7.4 |
Other Pools | 0% | $0.0 |
Cash | 2% | $2.1 |
Other | 0% | $0.0 |
Total | 100% | $105.4 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates | AUM | Business Types | CRD Number |
---|---|---|---|
FRANKLIN ADVISERS, INC. | $339.2 | 104517 | |
WESTERN ASSET MANAGEMENT COMPANY, LLC | $313.8 | 110441 | |
CLEARBRIDGE INVESTMENTS, LLC | $148.2 | 137028 | |
FRANKLIN MUTUAL ADVISERS, LLC | $38.4 | 111376 | |
TEMPLETON ASSET MANAGEMENT LTD. | $26.3 | broker-dealer | 111382 |
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED | $25.3 | 111360 | |
FRANKLIN TEMPLETON INSTITUTIONAL, LLC | $24.9 | 117384 | |
TEMPLETON GLOBAL ADVISORS LIMITED | $22.3 | broker-dealer | 111383 |
FRANKLIN TEMPLETON INVESTMENTS CORP. | $14.4 | broker-dealer | 111364 |
ROYCE & ASSOCIATES, LP | $11.7 | 107689 | |
O'SHAUGHNESSY ASSET MANAGEMENT, LLC | $8.0 | 144594 | |
MARTIN CURRIE INC | $7.0 | 110909 | |
TEMPLETON INVESTMENT COUNSEL, LLC | $6.4 | 111370 | |
CLEARBRIDGE INVESTMENTS (NORTH AMERICA) PTY LIMITED | $2.6 | 151223 | |
FRANKLIN MANAGED OPTIONS STRATEGIES, LLC | $0.6 | 325732 | |
FRANKLIN DISTRIBUTORS, LLC | $0.0 | broker-dealer | 109064 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
9 active
Name | Title |
---|---|
MURPHY, TERRENCE, JAMES | CHIEF EXECUTIVE OFFICER, DIRECTOR |
MURPHY, BRIAN, R | CHIEF COMPLIANCE OFFICER |
LIST, CYNTHIA, KAREN | CHIEF FINANCIAL OFFICER |
TARALLO, NICOLE, LORRAINE | CHIEF OPERATING OFFICER |
PLAFKER, JED, ANDREW | DIRECTOR |
DOLGOV, JASNA, BRBLIC | GENERAL COUNSEL |
ADVDB.CO • SOURCE: SEC
1 active representative found
Name | City | State | Exams | Designations | |||||
---|---|---|---|---|---|---|---|---|---|
JONATHAN BLAKE | NEW YORK | NY | S66|2005-10-21 |
ADVDB.CO • SOURCE: SEC
Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
---|---|---|---|---|---|---|
2024-10-01 | $105.4 | $0.0 | 0% | 15 | 0 | 0% |
2024-04-02 | $105.4 | $0.0 | 0% | 15 | 0 | 0% |
2023-04-04 | $94.6 | $10.8 | 11% | 16 | -1 | -6% |
2022-04-01 | $117.2 | -$11.9 | -10% | 13 | 2 | 15% |
2021-04-05 | $78.6 | $26.8 | 34% | 10 | 5 | 50% |
2020-04-01 | $82.3 | $23.1 | 28% | 10 | 5 | 50% |
2019-04-01 | $76.0 | $29.4 | 39% | 10 | 5 | 50% |
2018-04-02 | $63.7 | $41.7 | 66% | 10 | 5 | 50% |
2017-04-01 | $52.6 | $52.7 | 100% | 10 | 5 | 50% |
2016-04-01 | $50.2 | $55.2 | 110% | 13 | 2 | 15% |
2015-04-01 | $45.0 | $60.4 | 134% | 11 | 4 | 36% |
2014-04-01 | $31.6 | $73.8 | 233% | 12 | 3 | 25% |
2013-04-01 | $30.1 | $75.3 | 250% | 12 | 3 | 25% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
STATE REGISTRATIONS |
NY, AK-04/05/2007, AL-04/02/2007, AR-04/09/2007, AZ-04/02/2007, CA-04/02/2007, CO-04/02/2007, CT-04/02/2007, DC-04/02/2007, DE-04/23/2007, FL-04/03/2007, GA-04/02/2007, HI-04/02/2007, IA-04/10/2007, ID-04/02/2007, IL-05/24/2007, IN-04/02/2007, KS-04/02/2007, KY-04/02/2007, LA-04/02/2007, MA-04/02/2007, MD-04/02/2007, ME-04/02/2007, MI-04/02/2007, MN-01/19/2007, MO-04/02/2007, MS-04/02/2007, MT-04/02/2007, NC-04/02/2007, ND-04/02/2007, NE-04/02/2007, NH-04/02/2007, NJ-04/12/2007, NM-04/02/2007, NV-04/02/2007, NY-04/02/2007, OH-04/02/2007, OK-04/02/2007, OR-04/02/2007, PA-04/02/2007, PR-04/02/2007, RI-04/02/2007, SC-04/02/2007, SD-05/15/2007, TN-04/03/2007, TX-04/02/2007, UT-04/02/2007, VA-04/02/2007, VI-06/20/2008, VT-04/02/2007, WA-04/02/2007, WI-04/02/2007, WV-04/02/2007, WY-10/24/2018 |
ADVISER ACTIVITIES |
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) |
OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV