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CRD 35693
NEW YORK, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| AGENCY BROKERAGE HOLDING, LLC | SHAREHOLDER, MEMBER | C | yes | 09/2007 | Mar 30, 2012 | Jan 17, 2014 |
| BASMAJIAN, PAUL GARO | CHIEF EXECUTIVE OFFICER, MANAGER | Na | yes | 11/2013 | Mar 30, 2012 | Jan 17, 2014 |
| CONVERGEX GROUP,LLC | Member | E | yes | 10/2006 | Mar 30, 2012 | Jan 17, 2014 |
| CONVERGEX HOLDINGS, LLC | SHAREHOLDER, MEMBER | E | yes | 04/2013 | Mar 30, 2012 | Jan 17, 2014 |
| FITZPATRICK, VINCENT JOHN | NON-EMPLOYEE MANAGER | Na | yes | 10/2006 | Apr 1, 2013 | Jan 17, 2014 |
| GTCR FUND VIII AIV, L.P. | SHAREHOLDER, MEMBER | C | yes | 10/2006 | Jul 3, 2013 | Jan 17, 2014 |
| GTCR GOLDER RAUNER II, LLC | Partner | F | yes | 10/2006 | Jul 3, 2013 | Jan 17, 2014 |
| GTCR PARTNERS VIII, L.P. | Partner | F | yes | 10/2006 | Jul 3, 2013 | Jan 17, 2014 |
| HEINEMAN, STEVEN P | Director | F | yes | 04/2013 | Jul 3, 2013 | Jan 17, 2014 |
| NOLL, ERIC WILSON | NON-EMPLOYEE MANAGER | Na | yes | 01/2014 | Jan 17, 2014 | Jan 17, 2014 |
| RAPPOLD, CHARLES EDWARD II | Director | F | yes | 10/2006 | Mar 30, 2012 | Jan 17, 2014 |
| RAPPOLD, CHARLES EDWARD II | NON-EMPLOYEE MANAGER | Na | yes | 10/2006 | Mar 30, 2012 | Jan 17, 2014 |
| SALIBA, ANTHONY JOSEPH | NON EMPLOYEE MANAGER | Na | yes | 12/2008 | Mar 30, 2012 | Jan 17, 2014 |
| THE BANK OF NEW YORK MELLON CORPORATION | SHAREHOLDER, MEMBER | E | yes | 09/2007 | Mar 30, 2012 | Jan 17, 2014 |
| BURNETT, FRANK JOHN | SVP, REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | Na | no | 10/2008 | Mar 30, 2012 | Jan 17, 2014 |
| MINOGUE, MICHAEL JOHN | SVP, MUNICIPAL PRINCIPAL | Na | no | 12/2006 | Mar 30, 2012 | Jan 17, 2014 |
| ORDONEZ, BEATRICE | MD, COO | Na | no | 05/2012 | Jun 19, 2012 | Jan 17, 2014 |
| SPRINGER, CHRISTOPHER MICHAEL | EXECUTIVE MANAGING DIRECTOR, FINOP AND CFO | Na | no | 10/2006 | Mar 30, 2012 | Jan 17, 2014 |
| VIRGILIO, ROBERT JOSEPH | MD, CHIEF COMPLIANCE OFFICER | Na | no | 10/2006 | Mar 30, 2012 | Jan 17, 2014 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| MELLON CAPITAL MANAGEMENT CORPORATION | n/a | Asset manager | $874B | N | yes | n/a |
| THE DREYFUS CORPORATION | n/a | Asset manager | $419B | N | yes | n/a |
| PARETO NEW YORK LLC | n/a | Other adviser | $171B | N | yes | n/a |
| STANDISH MELLON ASSET MANAGEMENT COMPANY LLC | n/a | Former SEC adviser | $130B | N | yes | n/a |
| WALTER SCOTT & PARTNERS LIMITED | n/a | Other adviser | $67B | N | yes | n/a |
| NEWTON CAPITAL MANAGEMENT LTD | n/a | Asset manager | $42B | N | yes | n/a |
| LOCKWOOD ADVISORS INC | n/a | Bank affiliated wealth | $33B | N | yes | n/a |
| ALCENTRA LIMITED | n/a | Asset manager | $23B | N | yes | n/a |
| THE BOSTON COMPANY ASSET MANAGEMENT LLC | n/a | Former SEC adviser | $20B | N | yes | n/a |
| ALCENTRA NY, LLC | n/a | Asset manager | $14B | N | yes | n/a |
| MBSC SECURITIES CORPORATION | n/a | Other adviser | $8.4B | N | yes | n/a |
| CENTERSQUARE INVESTMENT MANAGEMENT, INC. | n/a | Former SEC adviser | $7.9B | N | yes | n/a |
| HEDGEMARK ADVISORS, LLC | n/a | Former SEC adviser | $7.1B | N | yes | n/a |
| PARETO INVESTMENT MANAGEMENT LIMITED | n/a | Former SEC adviser | $3.0B | N | yes | n/a |
| ARX INVESTIMENTOS LTDA | n/a | Former SEC adviser | $1.9B | N | yes | n/a |
| EACM ADVISORS LLC | n/a | Former SEC adviser | $617M | N | yes | n/a |
| CENTERSQUARE INVESTMENT MANAGEMENT HOLDINGS, INC. | n/a | Former SEC adviser | $577M | N | yes | n/a |
| IVY ASSET MANAGEMENT LLC | n/a | Former SEC adviser | $206M | N | yes | n/a |
| MELLON HEDGE ADVISORS, LLC | n/a | Former SEC adviser | $0 | N | yes | n/a |
| ACN 003 231 829 LIMITED | n/a | n/a | n/a | N | yes | n/a |
| ALCENTRA MANAGEMENT (IRELAND) LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON ADMINISTRACAO DE ATIVOS LTDA. | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON ALOCACAO DE PATRIMONIO LTDA | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON AM KOREA LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON ASSET MANAGEMENT (UK) LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON ASSET MANAGEMENT AUSTRALIA LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON ASSET MANAGEMENT CANADA LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON ASSET MANAGEMENT HONG KONG LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON ASSET MANAGEMENT INTERNATIONAL LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON ASSET MANAGEMENT JAPAN LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON BANCO S.A. | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON CAPITAL MARKETS EMEA LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON CAPITAL MARKETS, LLC | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON FUND MANAGERS LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON GLOBAL MANAGEMENT LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON INTERNATIONAL MANAGEMENT LIMITED | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON NATIONAL ASSOCIATION | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON SERVICOS FINANCEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A. | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON TRUST COMPANY OF ILLINOIS | n/a | n/a | n/a | N | yes | n/a |
| BNY MELLON TRUST OF DELAWARE | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2012 | Apr 1, 2013 | n/a | n/a | 375 | 8 | n/a | n/a | n/a |
| 2011 | Apr 30, 2012 | n/a | n/a | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2012 | n/a | n/a | n/a | n/a | n/a | 375 | n/a | n/a | n/a |