Siebert Investment Advisors, Inc. (New York)

Name: Siebert Investment Advisors, Inc.
Address: 120 Wall Street, New York, NY, 10005
Telephone: 800-872-0444

Siebert Investment Advisors, Inc. is a mid-sized advisory firm based in New York. It manages $57.3 million of regulatory assets for 16 client accounts. It has been registered with the SEC as an adviser since 2014 and has operated in the jurisdictions of Arizona, California, Connecticut, and 12 other states.

Siebert Investment Advisors provides portfolio management for individuals and small businesses and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Siebert Investment Advisors: assets under management

The assets under management (AUM) of Siebert Investment Advisors, Inc. is $57.3 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 48% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $57.3 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.58 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Siebert Investment Advisors, Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Siebert Investment Advisors, Inc.

Mark Peter Malek has served as the Chief Investment Officer since 1 Feb 2017. Ronald Ross Bono joined the executive team most recently as the Cco.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Siebert Financial Corporation	Public holding company	1 Nov 1996	75% - 100%	11-1796714
Peter James Sosnowski	Senior vice president operations	1 Nov 2004	Other	1540143
Joseph Mario Ramos	Chief operating officer and chief financial officer	1 Jun 2013	Other	2065829
Joseph Mario Ramos	President, chief: operating officer, financial officer, investment officer	1 Jul 2013	Other	2065829
Suzanne Frances Shank Burks	Acting chief executive officer	1 Sep 2013	Other	1860931
Gary Richard Lober	Chief compliance officer	1 Oct 2013	Other	2610464
Daniel Thomas Bardelli	Chief compliance officer	1 Oct 2014	Other	2796631
Joseph Peter Giordano	Chief compliance officer	1 Apr 2015	Other	2766544
Andrew Henry Reich	President, cco, chief: operating officer, financial officer, investment officer	1 Dec 2016	Other	1966909
Mark Peter Malek	Chief investment officer	1 Feb 2017	Other	1999171
Roger Pacheco	Cco	1 Mar 2017	Other	1312459
Ronald Ross Bono	Cco	1 Jun 2017	Other	1247269

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Llc Kennedy Cabot Acquisition	Owner	1 Dec 2016	75% - 100%	81-3637561
Gloria Estelle Gebbia	Owner	1 Dec 2016	25% - 50%	2126152

Based in New York

The principal office where Siebert Investment Advisors, Inc. performs its advisory services is located at 120 Wall Street, New York, NY 10005, which is also the mailing address of the firm. An additional office of the firm is in Boca Raton, FL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 800-872-0444 or by fax 212-486-2784. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at siebertadvisors.com.