Clay Finlay Inc (New York)


Clay Finlay Inc is a large advisory firm based in New York. It manages $5.78 billion of regulatory assets for 1,396 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Clay Finlay provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and market timing 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.

Clay Finlay: assets under management

The assets under management (AUM) of Clay Finlay Inc is $5.78 billion. The firm's AUM has grown by 17% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $5.36 billion in discretionary accounts and $422.17 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.89 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $24.83 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Clay Finlay Inc for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Clay Finlay Inc

Frances Rosemary Dakers has been acting as President since 1 May 1988. Thomas Moynihan Turpin joined the executive team most recently as the Director.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
David Francis Finlay Chairman & chief executive officer 1 Apr 1982 Other 4346004
John Peter Clay Director & chairman emeritus 1 Apr 1982 Other 4344143
Robert Charles Schletter Director 1 May 1984 Other 4346927
Frances Rosemary Dakers Director 1 May 1988 Other 4346131
William Christopher O'donnell Treasurer & corporate secretary 1 Oct 1990 Other 4346930
United Asset Management Corporation 100% shareholder of clay finlay inc. 1 Aug 1996 75% - 100% 04-2714625
Old Mutual (Us) Holdings Inc. 100% shareholder of old mutual asset managers (us) llc. 1 Aug 1996 75% - 100% 04-2714625
Daniel Arthur Barton Director & chief administrative officer 1 Nov 1998 Other 4346021
Gregory Mitchell Jones Director 1 Nov 1998 Other 1051895
Peter George Robert Lyon Director 1 Nov 1998 Other 4346074
Susan Boland Kenneally Director 1 Apr 2000 Other 836566
Virginie Maisonneuve Director 1 Apr 2000 Other 4346921
Old Mutual Plc 100% shareholder of united asset management 1 Sep 2000 75% - 100% foreign
Old Mutual Life Assurance Co. (South Africa) Limited 8.71% shareholder of old mutual plc. 1 Sep 2000 Other foreign
Old Mutual Life Holdings (South Africa) Limited 100% shareholder of old mutual life assurance co. (south africa) limited 1 Sep 2000 75% - 100% foreign
Old Mutual (South Africa) Ltd. 100% shareholder of old mutual life holdings (south africa) limited 1 Sep 2000 75% - 100% foreign
Old Mutual (Netherlands) B.V. 100% shareholder of old mutual (south africa) ltd. 1 Sep 2000 75% - 100% foreign
Om Group (Uk) Limited 100% shareholder of old mutual (netherlands) b.v. 1 Sep 2000 75% - 100% foreign
Old Mutual Plc. 100% shareholder of om group (uk) limited 1 Sep 2000 75% - 100% foreign
Kevin James Carter Director 1 Mar 2001 Other 4346296
Old Mutual Asset Managers (Us) Llc. 100% shareholder of clay finlay inc. 1 Apr 2001 75% - 100% none
Scott Francis Powers Director 1 Oct 2001 Other 1482612
Carol Lee Schroeder Franklin Director 1 May 2004 Other 1006554
Peter Douglas Anderson Managing director 1 Mar 2005 Other 3117256
Henrik Strabo Managing director 1 Oct 2006 Other 1287143
Rosalind Margaret Hewsenian Managing director & chief executive officer 1 Nov 2007 Other 2302664
Thomas Moynihan Turpin Director 1 Mar 2008 Other 1888979

Indirect Owners

The SEC currently registers 4 indirect owners.

Name Entity Date acquired Ownership Employer ID
Old Mutual (Us) Holdings Llc. 100% shareholder of old mutual asset managers (us) llc. 1 Sep 2000 75% - 100% pending
Old Mutual (Us) Holdings Inc. 100% shareholder of old mutual asset managers (us) llc. 1 Sep 2000 75% - 100% pending
Old Mutual Plc. 100% shareholder of om group (uk) limited 1 Jan 2003 75% - 100% foreign
Om Group (Uk) Limited 100% shareholder of old mutual (us) holdings inc. 1 Jan 2003 75% - 100% foreign

Based in New York

The principal office where Clay Finlay Inc performs its advisory services is located at 12 East 49 Th Street, New York, NY 10017, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 212-692-8000 or by fax 212-980-0306. The normal business hours are 8:30 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at www.clayfinlay.com.