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CRD 19585
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| GERALD JAMES MARRA | n/a | NEW YORK, NY | Sea Cliff, NY | 20 | 29 | n/a | yes |
| JOHN PATRICK SULIT | n/a | SCARSDALE, NY | NEW HYDE PARK, NY | Mahopac, NY | 20 | 25 | 1 | yes |
| JORDAN MICHAEL HOFFMAN | n/a | New York, NY | NEW YORK, NY | 20 | 30 | 1 | yes |
| RAYMOND S STEELE | n/a | Marlboro, NJ | CHATHAM, NJ | 20 | 34 | n/a | yes |
| MINCHING TSO-LAM | n/a | NEW YORK, NY | New york, NY | 20 | 24 | n/a | yes |
| DAVID EDWARD KALATA | n/a | Los Angeles, CA | BEVERLY HILLS, CA | 19 | 25 | n/a | yes |
| CHRISTIAN ARLIA | n/a | Brooklyn, NY | BROOKLYN, NY | 19 | 31 | n/a | yes |
| RAJESH KISHIN CHANGLANI | n/a | Miami, FL | MIAMI, FL | 18 | 20 | n/a | yes |
| ANDREW JOSEPH PASSERI | n/a | New York, NY | NEW YORK, NY | 18 | 26 | n/a | yes |
| PATRICK FRANCIS NORRIS | Certified Financial Planner | Amherst, NY | Buffalo, NY | 18 | 38 | n/a | yes |
| ANIELLO GINO FABI | n/a | Staten Island, NY | BROOKLYN, NY | 18 | 32 | n/a | yes |
| EMILY TSAI LIN | n/a | Arcadia, CA | Pasadena, CA | 17 | 27 | 2 | yes |
| THOMAS GERARD ZIPPILLI | n/a | Staten Island, NY | BROOKLYN, NY | 17 | 30 | 1 | yes |
| KAREN MARIANNE ACHER-HOWARD | n/a | Miami Beach, FL | Miami, FL | 17 | 28 | 1 | yes |
| NICHOLAS PETER TEDESCO | n/a | Bronx, NY | SCARSDALE, NY | 17 | 32 | n/a | yes |
| ANDREW PAUL FOX | n/a | Buffalo, NY | WILLIAMSVILLE, NY | Amherst, NY | 17 | 37 | 2 | yes |
| ANIL CHANDRAKANT PATEL | n/a | IRVINE, CA | Irvine, CA | 17 | 25 | 2 | yes |
| BRADLEY T GOLDING | n/a | Buffalo, NY | Lockport, NY | 17 | 19 | 1 | yes |
| RICHARD DAVID CORDELL | Certified Financial Planner | BEVERLY HILLS, CA | YORBA LINDA, CA | 17 | 29 | 1 | yes |
| ROBERT LOUIS GAROMO | n/a | BROOKLYN, NY | 16 | 31 | 2 | yes |
| CURTIS FRANK VEGA | n/a | Los Angeles, CA | Beverly Hills, CA | 16 | 16 | n/a | yes |
| BRIAN DAVID SMITH | n/a | NEW YORK, NY | Glen Cove, NY | 16 | 20 | n/a | yes |
| ALLISON PATRICIA MAHONEY | n/a | Briarcliff Manor, NY | NEW YORK, NY | 16 | 17 | n/a | yes |
| JASON MARC KLAGER | Certified Financial Planner | NEW HYDE PARK, NY | Nesconset, NY | 16 | 20 | n/a | yes |
| LAN LI | Certified Financial Planner | CUPERTINO, CA | Mountain View, CA | 16 | 20 | 2 | yes |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| BRYANT PARK FUNDING, LLC. | Securitized Asset Fund | $372M | Jan 8, 2015 | 1 | Mar 30, 2012 | dropped | n/a |
| 452 PRIVATE EQUITY INVESTORS CAYMAN L.P. | Private Equity Fund | $44.0M | Aug 3, 2026 | 4 | Mar 7, 2012 | reported | 021-97528 |
| 452 LATIN AMERICA PRIVATE EQUITY INVESTORS L.P. | Private Equity Fund | $22.5M | Aug 3, 2026 | 3 | Mar 7, 2012 | reported | n/a |
| HSBC PRIVATE EQUITY FUND PARTNERS USA L.P. | Private Equity Fund | $18.4M | Feb 27, 2023 | 2 | Mar 7, 2012 | dropped | n/a |
| MILANO INVESTOR LLC | Real Estate Fund | $18.1M | Jan 8, 2015 | 3 | Mar 7, 2012 | dropped | n/a |
| HSBC LATIN AMERICA FUND PARTNERS L.P. | Private Equity Fund | $8.7M | Feb 27, 2023 | 2 | Mar 7, 2012 | dropped | n/a |
| 452 PRIVATE EQUITY PARTNERS II USA L.P. | Private Equity Fund | $7.1M | Aug 3, 2026 | 2 | Mar 7, 2012 | reported | n/a |
| HSBC LATIN AMERICAN COINVESTMENT PARTNERS, L.P. | Private Equity Fund | $7.0M | Aug 3, 2026 | 2 | Mar 7, 2012 | reported | n/a |
| 452 PRIVATE EQUITY ACCESS FUND, L.P. | Private Equity Fund | $4.8M | Aug 3, 2026 | 6 | Mar 7, 2012 | reported | n/a |
| HSBC REAL ESTATE FUND L.P. | Real Estate Fund | $2.5M | Mar 30, 2018 | 2 | Mar 7, 2012 | dropped | n/a |
| 452 LATIN AMERICA INSTITUTIONAL FUND L.P. | Private Equity Fund | $2.4M | Aug 3, 2026 | 5 | Mar 7, 2012 | reported | 021-114316 |
| HSBC MEZZANINE PARTNERS USA, L.P. | Private Equity Fund | $722,235 | Mar 14, 2022 | 2 | Mar 7, 2012 | dropped | n/a |
| 452 LATIN AMERICA PARTNERS L.P. | Private Equity Fund | $193,839 | Aug 3, 2026 | 6 | Mar 7, 2012 | reported | 021-126455 |
| AM INVESTOR LLC | Real Estate Fund | $0 | Jan 8, 2015 | 0 | Mar 7, 2012 | dropped | n/a |
| LV INVESTOR LLC | Real Estate Fund | $0 | Jan 8, 2015 | 0 | Mar 7, 2012 | dropped | n/a |
| HSBC EQUITY PARTNERS USA LP | Private Equity Fund | $0 | Aug 3, 2026 | 2 | Mar 7, 2012 | reported | n/a |
| HSBC REAL ESTATE MEZZANINE PARTNERS USA, L.P. | Real Estate Fund | $0 | Jan 8, 2015 | 0 | Mar 7, 2012 | dropped | n/a |
| HSBC REAL ESTATE EQUITY PARTNERS USA, L.P. | Real Estate Fund | $0 | Dec 20, 2024 | 2 | Mar 7, 2012 | dropped | n/a |
| DV INVESTOR LLC | Real Estate Fund | $0 | Jan 8, 2015 | 0 | Mar 7, 2012 | dropped | n/a |
| HSBC USA RUTLAND INVESTORS I, L.P. | Private Equity Fund | $0 | Jan 8, 2015 | 0 | Mar 7, 2012 | dropped | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BUSCAGLIA, SARA FAYE | DIRECTOR OFFICER | Na | yes | 10/2020 | Aug 3, 2026 | Aug 3, 2026 |
| SHAH, CHINTAN NAYANKUMAR | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | Na | yes | 03/2026 | Aug 3, 2026 | Aug 3, 2026 |
| BENDER, SETH P | GENERAL COUNSEL | Na | yes | 11/2021 | Nov 11, 2021 | Dec 20, 2024 |
| CHAMBERS, TREVOR C | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER | Na | yes | 06/2023 | Jun 28, 2023 | Dec 20, 2024 |
| FARRELL, JOHN | HEAD OF OPERATIONS/PRINCIPAL OPERATIONS OFFICER | Na | yes | 02/2022 | Mar 14, 2022 | Dec 20, 2024 |
| HENDERSON, JASON RYAN | PRESIDENT/CEO/DIRECTOR | Na | yes | 10/2020 | Nov 16, 2020 | Dec 20, 2024 |
| HSBC HOLDINGS PLC | ULTIMATE PARENT COMPANY | E | yes | 07/2005 | Mar 30, 2012 | Dec 20, 2024 |
| HSBC INVESTMENTS (NORTH AMERICA) INC. | HOLDING COMPANY | E | yes | 01/2004 | Mar 30, 2012 | Dec 20, 2024 |
| HSBC MARKETS (USA), INC. | Parent | E | yes | 08/1995 | Mar 30, 2012 | Dec 20, 2024 |
| HSBC NORTH AMERICA HOLDINGS INC. | HOLDING COMPANY | E | yes | 01/2004 | Mar 30, 2012 | Dec 20, 2024 |
| HSBC OVERSEAS HOLDINGS (UK) LIMITED | HOLDING COMPANY | E | yes | 07/2005 | Mar 30, 2012 | Dec 20, 2024 |
| MEHTA, ORESTA I | Director | Na | yes | 08/2022 | Aug 29, 2022 | Dec 20, 2024 |
| WEITZER, JOHN L | CHIEF COMPLIANCE OFFICER - BD | Na | yes | 05/2024 | Jun 4, 2024 | Dec 20, 2024 |
| SHAW, IAN G | MANAGING DIRECTOR, HEAD OF US WPB COMPLIANCE AND CHIEF COMPLIANCE OFFICER OF RIA | Na | no | 01/2024 | Jan 2, 2024 | Dec 20, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| HSBC GLOBAL ASSET MANAGEMENT (USA) INC. | n/a | Asset manager | $157B | N | yes | n/a |
| HSBC BANK USA, N.A. | n/a | n/a | n/a | N | yes | NY |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Depew | NY | United States | 25 | yes |
| Depew | NY | United States | 23 | yes |
| Brooklyn | NY | United States | 17 | yes |
| NEW YORK | NY | United States | 17 | yes |
| Arcadia | CA | United States | 15 | yes |
| Irvine | CA | United States | 15 | yes |
| NEW YORK | NY | United States | 15 | yes |
| Miami | FL | United States | 14 | yes |
| SAN FRANCISCO | CA | United States | 11 | yes |
| BEVERLY HILLS | CA | United States | 10 | yes |
| Cupertino | CA | United States | 10 | yes |
| NEW HYDE PARK | NY | United States | 10 | yes |
| Fremont | CA | United States | 9 | yes |
| Aventura | FL | United States | 9 | yes |
| Flushing | NY | United States | 9 | yes |
| NEW YORK | NY | United States | 9 | yes |
| Scarsdale | NY | United States | 8 | yes |
| Virginia | Wa | United States | 8 | yes |
| Chatham | Nj | United States | 7 | yes |
| Bellevue | Wa | United States | 7 | yes |
| NEW YORK | NY | United States | 6 | yes |
| Chicago | IL | United States | 5 | yes |
| NEW YORK | NY | United States | 5 | yes |
| Seattle | Wa | United States | 5 | yes |
| Washington | Dc | United States | 4 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 15, 2026 | $3.8B | $825M | 490 | 402 | 58 | 8 | n/a |
| 2024 | Apr 21, 2025 | $3.2B | $493M | 473 | 376 | 63 | 9 | n/a |
| 2023 | Mar 27, 2024 | $3.0B | $378M | 507 | 340 | 62 | 8 | $90.6M |
| 2022 | Mar 28, 2023 | $2.8B | $308M | 510 | 371 | 60 | 8 | $98.2M |
| 2021 | Mar 31, 2022 | $3.9B | $336M | 883 | 535 | 172 | 11 | $142M |
| 2020 | Mar 30, 2021 | $3.7B | $165M | 741 | 623 | 193 | 12 | $142M |
| 2019 | Mar 31, 2020 | $3.9B | $209M | 1,017 | 860 | 221 | 12 | $202M |
| 2018 | Mar 29, 2019 | $3.4B | $287M | 1,017 | 216 | 229 | 12 | $284M |
| 2017 | Mar 30, 2018 | $3.7B | $382M | 943 | 202 | 229 | 13 | $385M |
| 2016 | Mar 31, 2017 | $3.0B | $747M | 1,289 | 224 | n/a | 13 | $482M |
| 2015 | Mar 24, 2016 | $3.0B | $830M | 1,904 | 212 | n/a | 13 | $606M |
| 2014 | Mar 16, 2015 | $3.0B | $0 | 2,020 | 209 | n/a | 13 | $806M |
| 2013 | Mar 21, 2014 | $3.1B | $372M | 1,763 | 219 | n/a | 20 | $1.4B |
| 2012 | Mar 28, 2013 | $3.5B | $938M | 1,598 | 190 | n/a | 1 | $938M |
| 2011 | Mar 30, 2012 | $5.9B | $2.8B | n/a | n/a | n/a | 20 | $3.7B |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 40 | 29 | 11 | 7.7% | 2 | 3 | 0 | 102 | 71 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $3.8B | $3.2B | 18.7% | $2.8B | 10.8% | 490 | 473 | 58 | 63 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| MORGAN STANLEY | 3 | Jan 14, 2026 | Jan 12, 2026 | MIAMI, FL | Team lift out | Ibd to wirehouse | 0.8% |
| CITIGROUP GLOBAL MARKETS INC. | 3 | Jun 26, 2025 | Jun 26, 2025 | SAN MATEO, CA | Team lift out | Ibd to ibd | 0.9% |
| WELLS FARGO ADVISORS | 2 | Jun 13, 2025 | Jun 2, 2025 | IRVINE, CA | Team lift out | Ibd to wirehouse | 0.6% |
| CITIZENS SECURITIES, INC. | 2 | Oct 10, 2024 | Oct 10, 2024 | NEW HYDE PARK, NY | Team lift out | Ibd to ibd | 0.7% |
| UBS FINANCIAL SERVICES INC. | 2 | Jul 3, 2023 | Jun 12, 2023 | MIAMI, FL | Team lift out | Ibd to wirehouse | 0.8% |
| OSAIC INSTITUTIONS, INC. | 2 | Jul 3, 2023 | Jun 21, 2023 | NEW YORK, NY | Team lift out | Ibd to ibd | 0.8% |
| OSAIC INSTITUTIONS, INC. | 2 | Sep 15, 2022 | Sep 22, 2022 | NEW YORK, NY | Team lift out | Ibd to ibd | 1.0% |
| CITIGROUP GLOBAL MARKETS INC. | 2 | Aug 3, 2022 | Aug 15, 2022 | IRVINE, CA | Team lift out | Ibd to ibd | 1.0% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Jul 14, 2022 | Sep 22, 2022 | BELLEVUE, WA | Team lift out | Ibd to wirehouse | 0.9% |
| CITIGROUP GLOBAL MARKETS INC. | 2 | Jul 8, 2022 | Aug 18, 2022 | BUFFALO, NY | Team lift out | Ibd to ibd | 0.9% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | May 10, 2022 | Sep 21, 2022 | NEW YORK, NY | Team lift out | Ibd to wirehouse | 0.9% |
| CITIZENS SECURITIES, INC. | 5 | Feb 18, 2022 | Mar 7, 2022 | NEW YORK, NY | Team lift out | Ibd to ibd | 2.3% |
| CETERA INVESTMENT ADVISERS LLC | 2 | Jan 14, 2022 | Feb 2, 2022 | WALNUT, CA | Team lift out | Ibd to ibd | 0.9% |
| CITIGROUP GLOBAL MARKETS INC. | 2 | Nov 2, 2021 | Dec 22, 2021 | NEW YORK, NY | Team lift out | Ibd to ibd | 0.9% |
| CITIGROUP GLOBAL MARKETS INC. | 2 | Oct 1, 2021 | Dec 23, 2021 | WHITE PLAINS, NY | Team lift out | Ibd to ibd | 0.9% |
| CITIGROUP GLOBAL MARKETS INC. | 2 | Jul 26, 2021 | Aug 18, 2021 | CORAL GABLES, FL | Team lift out | Ibd to ibd | 0.9% |
| J.P. MORGAN SECURITIES LLC | 2 | May 21, 2021 | May 17, 2022 | BROOKLYN, NY | Team lift out | Ibd to wirehouse | 0.8% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 2 | Jan 25, 2021 | Jan 12, 2021 | SYOSSET, NY | Team lift out | Ibd to ibd | 0.8% |
| MORGAN STANLEY | 2 | Nov 2, 2020 | Nov 2, 2020 | NEW YORK, NY | Team lift out | Ibd to wirehouse | 0.8% |
| WELLS FARGO ADVISORS | 2 | Oct 19, 2020 | Oct 9, 2020 | FREMONT, CA | Team lift out | Ibd to wirehouse | 0.7% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Feb 17, 2026 | Mar 3, 2026 | NEW YORK, NY | Team lift out | Wirehouse to ibd | 0.0% |
| CITIGROUP GLOBAL MARKETS INC. | 2 | Apr 2, 2024 | Jan 2, 2025 | SAN FRANCISCO, CA | Team lift out | Ibd to ibd | 0.1% |
| M&T SECURITIES, INC. | 2 | Jun 9, 2021 | Aug 17, 2021 | BUFFALO, NY | Team lift out | Other | 1.0% |
| USAA FINANCIAL PLANNING SERVICES | 2 | Jul 28, 2016 | Jan 15, 2017 | NEW YORK,, NY | Team lift out | Other | 0.3% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Oct 14, 2015 | Dec 8, 2015 | MIAMI, FL | Team lift out | Other | 0.0% |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2 | Sep 1, 2015 | Dec 7, 2015 | FLUSHING, NY | Team lift out | Other | 0.0% |