AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $1.9 |
| Non-Discretionary | $0.0 |
| Total | $1.9 |
| Client | AUM |
|---|---|
| Retail | $1.8 |
| Pooled | $0.0 |
| Institutional | $0.2 |
| Total | $1.9 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 103 | $0.0 |
| Average Individual AUM | $411,128 | |
| HNW | 230 | $1.7 |
| Average HNW AUM | $7,492,072 | |
| Retail Total | 333 | $1.8 |
| Average Retail AUM | $5,301,870 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| FIDELITY DISTRIBUTORS COMPANY LLC | SMITHFIELD-RI-USA | $0.7 |
| BNY MELLON PERSHING | JERSEY CITY-NJ-USA | $0.2 |
| FRANKLIN MUTUAL ADVISERS, LLC | NEW YORK-NY-USA | $0.2 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $1.9 |
| Retail SMA AUM | $1.8 |
| Institutional SMA AUM | $0.2 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 78% | $1.5 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 5% | $0.1 |
| Municipal | 4% | $0.1 |
| Sovereign | 0% | $0.0 |
| IG Credit | 6% | $0.1 |
| HY Credit | 1% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 3% | $0.1 |
| Other Pools | 0% | $0.0 |
| Cash | 7% | $0.1 |
| Other | 0% | $0.0 |
| Total | 104% | $2.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
6 active
| Name | Title |
|---|---|
| NEJAME, NEIL, PATRICK | TREASURER, VICE PRESIDENT |
| SCOTT, SHEILA, NEWBOLD | PRESIDENT |
| ANASTASI, FRANK, JOSEPH | CHIEF COMPLIANCE OFFICER / VICE PRESIDENT/ SECRETARY |
| TRAVER, MARK, ANDREW | VICE PRESIDENT |
| COE, JEFFREY, NORLING | VICE PRESIDENT |
| CHOATE, REED, WINFIELD | VICE PRESIDENT |
ADVDB.CO • SOURCE: SEC
6 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| SHEILA SCOTT | NEW YORK | NY | S65|1992-03-12 | ||||||
| WILLIAM PATTERSON | NEW YORK | NY | S65|2022-01-24 | ||||||
| MARK TRAVER | NEW YORK | NY | CHARTERED FINANCIAL ANALYST | ||||||
| JEFFREY COE | NEW YORK | NY | S63|1992-05-04|S65|1992-06-22 | ||||||
| NEIL NEJAME | NEW YORK | NY | |||||||
| REED CHOATE | NEW YORK | NY | |||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-03-06 | $1.9 | $0.0 | 0% | 13 | 0 | 0% |
| 2024-04-02 | $1.6 | $0.3 | 21% | 13 | 0 | 0% |
| 2023-04-04 | $1.6 | $0.3 | 21% | 13 | 0 | 0% |
| 2022-04-01 | $1.9 | $0.0 | 3% | 14 | -1 | -7% |
| 2021-04-05 | $1.5 | $0.4 | 27% | 14 | -1 | -7% |
| 2020-04-01 | $1.5 | $0.5 | 31% | 14 | -1 | -7% |
| 2019-04-01 | $1.4 | $0.5 | 40% | 14 | -1 | -7% |
| 2018-04-02 | $1.3 | $0.6 | 44% | 16 | -3 | -19% |
| 2017-04-01 | $1.3 | $0.6 | 49% | 19 | -6 | -32% |
| 2016-04-01 | $1.4 | $0.5 | 40% | 19 | -6 | -32% |
| 2015-04-01 | $1.5 | $0.4 | 28% | 17 | -4 | -24% |
| 2014-04-01 | $1.4 | $0.5 | 39% | 18 | -5 | -28% |
| 2013-04-01 | $1.3 | $0.6 | 50% | 20 | -7 | -35% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| NY, CA-04/16/1975, CO-12/11/2000, CT-12/01/1997, DC-01/21/1994, DE-04/02/2015, FL-01/02/1976, GA-10/17/1995, LA-01/28/2003, MA-03/25/1994, MD-10/01/1990, ME-02/15/2001, MT-01/06/2010, NC-10/09/2014, NH-07/01/1982, NJ-01/01/1961, NM-08/25/2022, NY-04/25/2003, OR-01/28/2003, PA-01/24/1967, SC-01/02/2014, TN-01/24/2022, TX-01/28/1975, VA-07/06/1987, VT-01/04/1995, WA-01/28/2003 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV