AUM
Employee Count
Main Office
Discretion | AUM |
---|---|
Discretionary | $691.9 |
Non-Discretionary | $0.0 |
Total | $691.9 |
Client | AUM |
---|---|
Retail | $618.0 |
Pooled | $0.0 |
Institutional | $73.9 |
Total | $691.9 |
Retail | Accounts | AUM |
---|---|---|
Individual | 908,633 | $195.0 |
Average Individual AUM | $214,558 | |
HNW | 278,637 | $423.0 |
Average HNW AUM | $1,518,194 | |
Retail Total | 1,187,270 | $618.0 |
Average Retail AUM | $520,505 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
Custodian | Location | AUM |
---|---|---|
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | NEW YORK-NY-USA | $658.9 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Breakdown | AUM |
---|---|
Total SMA AUM | $691.9 |
Retail SMA AUM | $618.0 |
Institutional SMA AUM | $73.9 |
Asset Class | % | AUM |
---|---|---|
Equity Exch | 39% | $269.8 |
Equity Non-Exch | 2% | $13.8 |
Govt Agency | 2% | $13.8 |
Municipal | 8% | $55.4 |
Sovereign | 0% | $0.0 |
IG Credit | 2% | $13.8 |
HY Credit | 0% | $0.0 |
Derivatives | 0% | $0.0 |
Investment Companies | 13% | $89.9 |
Other Pools | 30% | $207.6 |
Cash | 3% | $20.8 |
Other | 0% | $0.0 |
Total | 99% | $685.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates | AUM | Business Types | CRD Number |
---|---|---|---|
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | $1,271.6 | broker-dealer | 7691 |
BANK OF AMERICA SINGAPORE LIMITED | $0.0 | broker-dealer | - |
BOFA SECURITIES PRIME, INC. | $0.0 | broker-dealer | 316331 |
BOFA SECURITIES, INC. | $0.0 | broker-dealer | 283942 |
BANK OF AMERICA CALIFORNIA, NATIONAL ASSOCIATION | $0.0 | - | |
MERRILL LYNCH SOUTH AFRICA (PROPRIETARY) LIMITED | $0.0 | broker-dealer | - |
BANK OF AMERICA MALAYSIA BERHAD | $0.0 | - | |
BANK OF AMERICA MEXICO, S.A., INSTITUCION DE BANCA MULTIPLE | $0.0 | - | |
MERRILL LYNCH LIFE AGENCY INC. (VIRGIN ISLANDS) | $0.0 | - | |
MERRILL LYNCH CORREDORES DE BOLSA SPA | $0.0 | broker-dealer | - |
U.S. TRUST COMPANY OF DELAWARE | $0.0 | trust company | - |
BOFA SECURITIES EUROPE SA | $0.0 | broker-dealer | - |
BANK OF AMERICA EUROPE DESIGNATED ACTIVITY COMPANY | $0.0 | - | |
BANC OF AMERICA SECURITIES ASIA LIMITED | $0.0 | broker-dealer | - |
MERRILL LYNCH BANK AND TRUST COMPANY (CAYMAN) LIMITED | $0.0 | broker-dealer, trust company | - |
MERRILL LYNCH LIFE AGENCY INC. (WASHINGTON) | $0.0 | - | |
MERRILL LYNCH (AUSTRALIA) FUTURES LIMITED | $0.0 | broker-dealer | - |
MERRILL LYNCH, KINGDOM OF SAUDI ARABIA COMPANY | $0.0 | broker-dealer | - |
BANK OF AMERICA YATIRIM BANK A.S. | $0.0 | broker-dealer | - |
BANK OF AMERICA MERRILL LYNCH BANCO MULTIPLO S.A. | $0.0 | - | |
BOFA SECURITIES JAPAN CO., LTD. | $0.0 | broker-dealer | - |
PT MERRILL LYNCH SEKURITAS INDONESIA | $0.0 | broker-dealer | - |
BOFA SECURITIES INDIA LIMITED | $0.0 | broker-dealer | - |
MERRILL LYNCH ARGENTINA S.A. | $0.0 | broker-dealer | - |
MERRILL LYNCH EQUITIES (AUSTRALIA) LIMITED | $0.0 | broker-dealer | - |
MERRILL LYNCH LIFE AGENCY INC. (PUERTO RICO) | $0.0 | - | |
MERRILL LYNCH INTERNATIONAL, LLC-SEOUL BRANCH | $0.0 | broker-dealer | - |
MERRILL LYNCH S.A. CORRETORA DE TITUTOS E VALORES MOBILIARIOS | $0.0 | broker-dealer | - |
MERRILL LYNCH MARKETS (AUSTRALIA) PTY. LIMITED | $0.0 | broker-dealer | - |
MERRILL LYNCH MEXICO, S.A. DE C.V., CASA DE BOLSA | $0.0 | broker-dealer | - |
MERRILL LYNCH (SINGAPORE) PTE. LTD. | $0.0 | broker-dealer | - |
MERRILL LYNCH FAR EAST LIMITED | $0.0 | broker-dealer | - |
BANK OF AMERICA, NATIONAL ASSOCIATION | $0.0 | broker-dealer | - |
MERRILL LYNCH SECURITIES (TAIWAN) LTD. | $0.0 | broker-dealer | - |
MERRILL LYNCH SECURITIES (THAILAND) LIMITED | $0.0 | broker-dealer | - |
MERRILL LYNCH (ASIA PACIFIC) LIMITED | $0.0 | broker-dealer | - |
MERRILL LYNCH LIFE AGENCY INC. (MONTANA) | $0.0 | - | |
MERRILL LYNCH CANADA INC. | $0.0 | broker-dealer | - |
MERRILL LYNCH INTERNATIONAL | $0.0 | broker-dealer | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
14 active
Name | Title |
---|---|
CAPELLI, JOHN, JOSEPH | PRESIDENT AND DIRECTOR |
BALL, MATTHEW, SCOTT | VICE PRESIDENT AND CHIEF OPERATING OFFICER |
BAILEY, DEBORAH, LYNN | DIRECTOR |
LYMAN, JULIE, BRACKETT | CHIEF LEGAL OFFICER |
TORRES, CARLOS, ALBERTO | CHIEF COMPLIANCE OFFICER |
RYAN, TIMOTHY, PETER | CHIEF FINANCIAL OFFICER |
SHEPARD, KENNETH, J | DIRECTOR |
GRANSHAW, MARK, A | DIRECTOR |
GHEE, ANTONY, E | DIRECTOR |
FAHMY, NANCY, MONIR | DIRECTOR |
ADVDB.CO • SOURCE: SEC
24 active representatives found, showing 20 random
Name | City | State | Exams | Designations | |||||
---|---|---|---|---|---|---|---|---|---|
TERRANCE BREEN | JERSEY CITY | NJ | S63|1996-12-03|S65|2010-02-01 | ||||||
TIMOTHY GOODWIN | JERSEY CITY | NJ | S63|2002-12-18|S65|2008-05-23 | ||||||
MATTHEW BALL | JERSEY CITY | NJ | S63|2001-09-10|S65|2010-07-16 | ||||||
JOHN CAPELLI | JERSEY CITY | NJ | S63|1992-03-11|S65|2008-03-19 | ||||||
MELISSA CRUZ | JERSEY CITY | NJ | S65|2017-06-19 | ||||||
JASON OSMER | JERSEY CITY | NJ | S63|2001-07-30|S65|2009-10-21 | ||||||
MICHAEL MOCHAN | JERSEY CITY | NJ | S66|2011-07-15 | ||||||
CLAUDIA MUINDI | JERSEY CITY | NJ | S66|2004-01-11 | ||||||
ALEXANDRA KAYES | JERSEY CITY | NJ | S65|2019-02-14 | ||||||
JOSEPH DEMAIO | JERSEY CITY | NJ | S65|2022-01-04 | ||||||
KYLE NAKAMURA | JERSEY CITY | NJ | S65|2015-03-07 | ||||||
RICHARD PETRASEK | JERSEY CITY | NJ | S65|2010-04-12 | ||||||
ROBERT VAN PELT | JERSEY CITY | NJ | S63|2002-09-05|S65|2002-10-12 | ||||||
GERALD MISTRETTA | JERSEY CITY | NJ | S65|2017-10-23|S63|2013-11-07 | ||||||
STEPHEN SARPI | JERSEY CITY | NJ | S65|2013-01-07 | ||||||
RORY SAGER | JERSEY CITY | NJ | S63|1994-08-08|S65|2007-09-05 | ||||||
TIMOTHY MUNSON | JERSEY CITY | NJ | S66|2015-06-25|S63|2015-05-01 | ||||||
MEGAN MCGARRIGAL | JERSEY CITY | NJ | S65|2022-12-17 | ||||||
RAJYASHREE JALAN | JERSEY CITY | NJ | S65|2013-12-10 | ||||||
KATHLEEN DONAWAY | JERSEY CITY | NJ | S66|2019-04-02 |
ADVDB.CO • SOURCE: SEC
Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
---|---|---|---|---|---|---|
2024-10-01 | $691.9 | $0.0 | 0% | 61 | 0 | 0% |
2024-04-02 | $691.9 | $0.0 | 0% | 61 | 0 | 0% |
2023-04-04 | $576.3 | $115.6 | 20% | 64 | -3 | -5% |
2022-04-01 | $662.4 | $29.5 | 4% | 65 | -4 | -6% |
2021-04-05 | $529.5 | $162.4 | 31% | 69 | -8 | -12% |
2020-04-01 | $446.6 | $245.3 | 55% | 71 | -10 | -14% |
2019-04-01 | $342.4 | $349.5 | 102% | 76 | -15 | -20% |
2018-04-02 | $337.8 | $354.1 | 105% | 76 | -15 | -20% |
2017-04-01 | $255.7 | $436.2 | 171% | 71 | -10 | -14% |
2016-04-01 | $191.6 | $500.3 | 261% | 82 | -21 | -26% |
2015-04-01 | $148.7 | $543.2 | 365% | 69 | -8 | -12% |
2014-04-01 | $111.8 | $580.1 | 519% | 63 | -2 | -3% |
2013-04-01 | $87.8 | $604.1 | 688% | 62 | -1 | -2% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
STATE REGISTRATIONS |
NJ, AK-02/27/2007, AL-03/07/2007, AR-03/06/2007, AZ-02/27/2007, CA-02/27/2007, CO-02/27/2007, CT-02/27/2007, DC-02/27/2007, DE-03/14/2007, FL-02/27/2007, GA-02/27/2007, HI-02/27/2007, IA-03/06/2007, ID-02/27/2007, IL-03/09/2007, IN-02/27/2007, KS-02/27/2007, KY-02/27/2007, LA-02/27/2007, MA-02/27/2007, MD-02/27/2007, ME-02/27/2007, MI-02/27/2007, MN-02/27/2007, MO-02/27/2007, MS-02/27/2007, MT-02/27/2007, NC-02/27/2007, ND-02/27/2007, NE-02/27/2007, NH-02/27/2007, NJ-03/08/2007, NM-02/27/2007, NV-02/27/2007, NY-02/27/2007, OH-02/27/2007, OK-02/27/2007, OR-02/27/2007, PA-02/27/2007, PR-02/27/2007, RI-02/27/2007, SC-02/27/2007, SD-03/14/2007, TN-03/01/2007, TX-02/27/2007, UT-02/27/2007, VA-02/27/2007, VI-12/07/2007, VT-02/27/2007, WA-02/27/2007, WI-02/27/2007, WV-02/27/2007, WY-07/18/2017 |
ADVISER ACTIVITIES |
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV