Sandler O'neill Advisors, L.P. (New York)

Sandler O'neill Advisors, L.P. is a large advisory firm based in New York. It manages $450 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of California, Georgia, Illinois, Massachusetts, and New York.

Sandler O'neill Advisors provides portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, publication of newsletters, educational seminars and workshops, and equity research and analysis. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Sandler O'neill Advisors: assets under management

The assets under management (AUM) of Sandler O'neill Advisors, L.P. is $450 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 50% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $450 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $225 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Sandler O'neill Advisors, L.P. for their services and products based on a percentage of assets under management, subscription fees, fixed fees, 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.

What kind of clients Sandler O'neill Advisors serves?

The only and largest group of clients of Sandler O'neill Advisors is pooled investment vehicles with 2 clients and $450 million of assets under management. Among the 10 most similar advisory firms, Sandler O'neill Advisors has the 3rd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $450 million for 2 clients. 3% of the firm’s clients are foreign persons or businesses.

Sandler O'neill Advisors also advises several private funds. Namely, two other private funds. The minimum investment commitment required of non-related persons is $100,000 for each fund.

Careers at Sandler O'neill Advisors, L.P.

The company employs 10 people that are either part- or full-time employees. 20 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Llc Sop Holdings joined the executive team most recently as the Limited Partner.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Marc Lewis Flaster	Gp, limited partner, director of general partner	1 Aug 1988	Other	209508
Fred Dennis Price	Gp, limited partner, director of general partner	1 Aug 1988	Other	1302782
Sandler O'neill & Partners Corp.	General partner	1 Aug 1988	Other	13-13481255
James Joseph Dunne	Gp, limited partner, director of general partner, chief executive officer	1 Sep 1988	Other	866444
May Frances Dellapietra	Chief financial officer and co-chief operating officer, limited partner, director of general partner	1 Dec 1988	Other	707188
Jonathan Jay Doyle	Gp, limited partner, director of general partner	1 Sep 2001	Other	2108121
Mark Thomas Fitzgibbon	Gp, limited partner, director of general partner	1 Jan 2002	Other	2519432
Brian David Bertonazzi	Gp, limited partner, director of general partner	1 Apr 2003	Other	1111059
William Francis Hickey	Gp, limited partner, director of general partner	1 Apr 2003	Other	2415098
Brian Richard Sterling	Gp, limited partner, director of general partner	1 Apr 2003	Other	2818398
Michael Lacovara	Gp, limited partner, general counsel and co-chief operating officer, director of general partner	1 Mar 2004	Other	4772769
Fizza Ali Khan	Chief compliance officer	1 Feb 2005	Other	4794383
May Frances Dellapietra	Chief financial officer and chief operating officer	1 Jun 2005	Other	707188
Jonathan Jay Doyle	Vice president	1 Jun 2005	Other	2108121
James Joseph Dunne	Chief executive officer	1 Jun 2005	Other	866444
Soagp L.L.C.	General partner	1 Jun 2005	Other	11-3755282
Brian David Bertonazzi	Limited partner	1 Jun 2005	Other	1111059
Mark Thomas Fitzgibbon	Limited partner	1 Jun 2005	Other	2519432
Marc Lewis Flaster	Limited partner	1 Jun 2005	Other	209508
William Francis Hickey	Limited partner	1 Jun 2005	Other	2415098
Michael Lacovara	Limited partner, general counsel and co-chief operating officer	1 Jun 2005	Other	4772769
Fred Dennis Price	Limited partner	1 Jun 2005	Other	1302782
Brian Richard Sterling	Limited partner	1 Jun 2005	Other	2818398
Fizza Ali Khan	Chief compliance officer	1 Jun 2005	Other	4794383
Thomas Joseph Longino	Chief compliance officer	1 Mar 2008	Other	2217369
Christopher Stephen Hooper	Chief legal officer and chief compliance officer	1 Dec 2008	Other	4828924
Llc Sop Holdings	Limited partner	1 Jan 2011	75% - 100%	30-0656438

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Sandler O'neill & Partners Corp.	Sole member	1 Jun 2005	75% - 100%	13-13481255

Based in New York

The principal office where Sandler O'neill Advisors, L.P. performs its advisory services is located at 1251 Avenue Of The Americas, 6 Th Floor, New York, NY 10020 1104, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-466-7920 or by fax 212-466-7933. The normal business hours are 8:30 a.m. - 5:00 p.m. on Monday - Friday.