Tucker Anthony Incorporated (New York)

Name: Tucker Anthony Incorporated
Address: 1 World Financial Center, New York, NY, 10281
Telephone: 212-225-8455

Tucker Anthony Incorporated is a large advisory firm based in New York. It manages $1.83 billion of regulatory assets for 2,520 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, California, Connecticut, and 22 other states.

Tucker Anthony Incorporated provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Tucker Anthony Incorporated: assets under management

The assets under management (AUM) of Tucker Anthony Incorporated is $1.83 billion. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $900.44 million in discretionary accounts and $931.48 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $742.33 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $712.69 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Tucker Anthony Incorporated for their services and products based on a percentage of assets under management, fixed fees, and commissions. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Tucker Anthony Incorporated

Mark Gerard Donohue has been acting as President since 1 Apr 1997. Rbc Holdings (Usa) Inc. joined the executive team most recently as the Indirect.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Robert Hudsco Yevich	Pres/coo/dir	1 Jun 1985	Other	474477
Tucker Anthony Holding Corp.	N/a	1 Dec 1986	75% - 100%	13-3419898
John Goldsmith	Chmn/ceo/dir	1 Jan 1988	Other	224462
Kevin John Mckay	Evp/asst secy	1 Sep 1994	Other	1136608
Marc Menchel	Evp/clo/secy/dir	1 Jul 1995	Other	1367326
Mark Gerard Donohue	Director	1 Apr 1997	Other	1077601
Ann Marie Elizabeth Etergino	Director	1 Apr 1997	Other	725204
Robert Melvin Lehrer	Director	1 Apr 1997	Other	305991
Richard Frederick Nydegger	Director	1 Apr 1997	Other	350018
Thomas Vincent Ridge	Evp/director	1 Apr 1997	Other	376285
John Brian Mullin	Cfo/treasurer	1 Oct 1997	Other	2792364
Jacob Francis Ruimerman	Director	1 Apr 1999	Other	407094
Timothy Patrick Sullivan	Director	1 Sep 1999	Other	500518
Anthony Matthew Verga	Cco/crop	1 Feb 2000	Other	1845993
James John Tricolli	Director	1 Aug 2000	Other	1976303
Michael James Boland	Srop	1 Aug 2000	Other	25119
Michael Joseph Rouse	Srop	1 Mar 2001	Other	405939
Robert Hudsco Yevich	Director	1 Jul 2001	Other	474477

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Freedom Securities Holding Corporation (Fshc)	Indirect	1 Nov 1996	75% - 100%	13-3122193
Employee Shareholders Collective	Indirect	1 Nov 1996	25% - 50%	n/a
Tucker Anthony Sutro (Ta)	Indirect	1 Apr 2000	75% - 100%	04-3335712
Rbc Holdings (Usa) Inc.	Indirect	1 Oct 2001	75% - 100%	13-3237290
Rbc Dain Rauscher Corporation	Indirect	1 Oct 2001	75% - 100%	41-1228350
Royal Bank Of Canada	Indirect	1 Oct 2001	75% - 100%	13-5357855

Based in New York

The principal office where Tucker Anthony Incorporated performs its advisory services is located at 1 World Financial Center, New York, NY 10281, which is also the mailing address of the firm. An additional office of the firm is in Carlisle, PA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-225-8455 or by fax 212-225-8455. The normal business hours are 9:00 a.m. to 5:00 p.m on Monday - Friday. You can find more information about the New York firm at www.tuckeranthony.com.