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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

HEDGEMARK INSTITUTIONAL CONSULTANTS, LLC

CRD 151530

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a38eb8a1-581f-3a56-c01c-e3b59fc8c787

Data as of Apr 24, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 32
Dated events: 0
On other graphs: 0
Observed: Nov 14, 2011 to Apr 24, 2012
6 observations

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
SEC number: 801-70641
CRD: 151530
Filings on the tape: 6
First filed: Nov 14, 2011
Latest filed: Apr 24, 2012
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BERGMAN, JOSEPH	CHIEF COMPLIANCE OFFICER	Na	yes	03/2012	Mar 1, 2012	Apr 24, 2012
HEDGEMARK HOLDINGS, LP	Member	E	yes	11/2009	Nov 14, 2011	Apr 24, 2012
HEDGEMARK INTERNATIONAL, LLC	MANAGING MEMBER	E	yes	08/2009	Nov 14, 2011	Apr 24, 2012
HEDGEMARK MANAGEMENT GROUP, LLC	MANAGING MEMBER	F	yes	11/2009	Nov 14, 2011	Apr 24, 2012
HEDGEMARK MANAGEMENT GROUP, LLC	GENERAL PARTNER	F	yes	11/2009	Nov 14, 2011	Apr 24, 2012
PAS HOLDINGS LLC	Member	C	yes	01/2011	Nov 14, 2011	Apr 24, 2012
PERSHING GROUP LLC	Member	E	yes	09/2005	Nov 14, 2011	Apr 24, 2012
PHILLIPS, KENNETH, STEPHEN	Partner	D	yes	11/2009	Nov 14, 2011	Apr 24, 2012
PHILLIPS, KENNETH, STEPHEN	MANAGING MEMBER	F	yes	06/2009	Nov 14, 2011	Apr 24, 2012
PHILLIPS, KENNETH, STEPHEN	CHIEF EXECUTIVE OFFICER	Na	yes	08/2009	Nov 14, 2011	Apr 24, 2012
THE BANK OF NEW YORK MELLON CORPORATION	Member	E	yes	06/2004	Nov 14, 2011	Apr 24, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page; showing 40 of 79

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
URDANG SECURITIES 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
BNY MELLON 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
URDANG CAPITAL MANAGEMENT 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 JAPAN LIMITED	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 ASSET MANAGEMENT GROUP 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
BNY MELLON WESTERN FUND MANAGEMENT CO., LTD.	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (21)

← IVY ASSET MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ THE BOSTON COMPANY ASSET MANAGEMENT LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ BNY MELLON INVESTMENT ADVISER, INC.Registered adviserother investment adviser, bank, common control
factForm ADV
→ MELLON INVESTMENTS CORPORATIONRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ BNY MELLON ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ CENTERSQUARE INVESTMENT MANAGEMENT HOLDINGS, INC.Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ INSIGHT INVESTMENTRegistered adviserother investment adviser, common control
factForm ADV
→ CENTERSQUARE INVESTMENT MANAGEMENT, INC.Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ IVY ASSET MANAGEMENT LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ NEWTON INVESTMENT MANAGEMENT LTDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ WALTER SCOTT & PARTNERS LIMITEDRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ STANDISHRegistered adviserother investment adviser, bank, common control
factForm ADV
→ BSP NY LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ EACM ADVISORS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ MELLON HEDGE ADVISORSRegistered adviserother investment adviser, bank, common control
factForm ADV
→ INSIGHT INVESTMENTRegistered adviserother investment adviser, common control
factForm ADV
→ ARX INVESTIMENTOS LTDARegistered adviserother investment adviser, bank, common control
factForm ADV
→ HEDGEMARK ADVISORS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ BENEFIT STREET PARTNERS LIMITEDRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ BNY MELLON SECURITIES CORPORATIONRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ CONVERGEX EXECUTION SOLUTIONS LLCRegistered adviserother investment adviser, broker-dealer, bank, common control
factForm ADV

Controls (8)

← PHILLIPS, KENNETH, STEPHENOwnerPARTNER, ownership code D, individual
Nov 14, 2011 to presentfactForm ADV
← BERGMAN, JOSEPHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 1, 2012 to presentfactForm ADV
← HEDGEMARK HOLDINGS, LPOwnerMEMBER, ownership code E, domestic entity
Nov 14, 2011 to presentfactForm ADV
← HEDGEMARK INTERNATIONAL, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Nov 14, 2011 to presentfactForm ADV
← HEDGEMARK MANAGEMENT GROUP, LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
Nov 14, 2011 to presentfactForm ADV
← PAS HOLDINGS LLCOwnerMEMBER, ownership code C, domestic entity
Nov 14, 2011 to presentfactForm ADV
← PERSHING GROUP LLCOwnerMEMBER, ownership code E, domestic entity
Nov 14, 2011 to presentfactForm ADV
← THE BANK OF NEW YORK MELLON CORPORATIONOwnerMEMBER, ownership code E, domestic entity
Nov 14, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a38eb8a1-581f-3a56-c01c-e3b59fc8c787
First observed: Nov 14, 2011
Last observed: Apr 24, 2012 175 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

HEDGEMARK INSTITUTIONAL CONSULTANTS, LLC

CRD 151530

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a38eb8a1-581f-3a56-c01c-e3b59fc8c787

Data as of Apr 24, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:03 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BERGMAN, JOSEPH

CHIEF COMPLIANCE OFFICER

yes

03/2012

Mar 1, 2012

Apr 24, 2012

HEDGEMARK HOLDINGS, LP

Member

yes

11/2009

Nov 14, 2011

Apr 24, 2012

HEDGEMARK INTERNATIONAL, LLC

MANAGING MEMBER

yes

08/2009

Nov 14, 2011

Apr 24, 2012

HEDGEMARK MANAGEMENT GROUP, LLC

MANAGING MEMBER

yes

11/2009

Nov 14, 2011

Apr 24, 2012

HEDGEMARK MANAGEMENT GROUP, LLC

GENERAL PARTNER

yes

11/2009

Nov 14, 2011

Apr 24, 2012

PAS HOLDINGS LLC

Member

yes

01/2011

Nov 14, 2011

Apr 24, 2012

PERSHING GROUP LLC

Member

yes

09/2005

Nov 14, 2011

Apr 24, 2012

PHILLIPS, KENNETH, STEPHEN

Partner

yes

11/2009

Nov 14, 2011

Apr 24, 2012

PHILLIPS, KENNETH, STEPHEN

MANAGING MEMBER

yes

06/2009

Nov 14, 2011

Apr 24, 2012

PHILLIPS, KENNETH, STEPHEN

CHIEF EXECUTIVE OFFICER

yes

08/2009

Nov 14, 2011

Apr 24, 2012

THE BANK OF NEW YORK MELLON CORPORATION

Member

yes

06/2004

Nov 14, 2011

Apr 24, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MELLON CAPITAL MANAGEMENT CORPORATION

n/a

Asset manager

$874B

yes

n/a

THE DREYFUS CORPORATION

n/a

Asset manager

$419B

yes

n/a

PARETO NEW YORK LLC

n/a

Other adviser

$171B

yes

n/a

STANDISH MELLON ASSET MANAGEMENT COMPANY LLC

n/a

Former SEC adviser

$130B

yes

n/a

WALTER SCOTT & PARTNERS LIMITED

n/a

Other adviser

$67B

yes

n/a

NEWTON CAPITAL MANAGEMENT LTD

n/a

Asset manager

$42B

yes

n/a

LOCKWOOD ADVISORS INC

n/a

Bank affiliated wealth

$33B

yes

n/a

ALCENTRA LIMITED

n/a

Asset manager

$23B

yes

n/a

THE BOSTON COMPANY ASSET MANAGEMENT LLC

n/a

Former SEC adviser

$20B

yes

n/a

ALCENTRA NY, LLC

n/a

Asset manager

$14B

yes

n/a

MBSC SECURITIES CORPORATION

n/a

Other adviser

$8.4B

yes

n/a

URDANG SECURITIES MANAGEMENT INC

n/a

Former SEC adviser

$7.9B

yes

n/a

HEDGEMARK ADVISORS, LLC

n/a

Former SEC adviser

$7.1B

yes

n/a

PARETO INVESTMENT MANAGEMENT LIMITED

n/a

Former SEC adviser

$3.0B

yes

n/a

BNY MELLON ARX INVESTIMENTOS LTDA

n/a

Former SEC adviser

$1.9B

yes

n/a

EACM ADVISORS LLC

n/a

Former SEC adviser

$617M

yes

n/a

URDANG CAPITAL MANAGEMENT INC

n/a

Former SEC adviser

$577M

yes

n/a

IVY ASSET MANAGEMENT LLC

n/a

Former SEC adviser

$206M

yes

n/a

MELLON HEDGE ADVISORS, LLC

n/a

Former SEC adviser

yes

n/a

ACN 003 231 829 LIMITED

n/a

yes

n/a

ALCENTRA MANAGEMENT (IRELAND) LIMITED

n/a

yes

n/a

BNY MELLON ADMINISTRACAO DE ATIVOS LTDA.

n/a

yes

n/a

BNY MELLON ALOCACAO DE PATRIMONIO LTDA

n/a

yes

n/a

BNY MELLON AM KOREA LIMITED

n/a

yes

n/a

BNY MELLON ASSET MANAGEMENT (UK) LIMITED

n/a

yes

n/a

BNY MELLON ASSET MANAGEMENT AUSTRALIA LIMITED

n/a

yes

n/a

BNY MELLON ASSET MANAGEMENT CANADA LIMITED

n/a

yes

n/a

BNY MELLON ASSET MANAGEMENT HONG KONG LIMITED

n/a

yes

n/a

BNY MELLON ASSET MANAGEMENT JAPAN LIMITED

n/a

yes

n/a

BNY MELLON CAPITAL MARKETS EMEA LIMITED

n/a

yes

n/a

BNY MELLON CAPITAL MARKETS, LLC

n/a

yes

n/a

BNY MELLON FUND MANAGERS LIMITED

n/a

yes

n/a

BNY MELLON GLOBAL MANAGEMENT LIMITED

n/a

yes

n/a

BNY MELLON INTERNATIONAL ASSET MANAGEMENT GROUP LIMITED

n/a

yes

n/a

BNY MELLON INTERNATIONAL MANAGEMENT LIMITED

n/a

yes

n/a

BNY MELLON NATIONAL ASSOCIATION

n/a

yes

n/a

BNY MELLON SERVICOS FINANCEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A.

n/a

yes

n/a

BNY MELLON TRUST COMPANY OF ILLINOIS

n/a

yes

n/a

BNY MELLON TRUST OF DELAWARE

n/a

yes

n/a

BNY MELLON WESTERN FUND MANAGEMENT CO., LTD.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 30, 2012

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

n/a