Deutsche Banc Alex. Brown Inc. (New York)

Deutsche Banc Alex. Brown Inc. is a large advisory firm based in New York. It manages $13.28 billion of regulatory assets for 6,430 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 34 other states.

Deutsche Banc Alex. Brown provides financial planning services, portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for pooled investment vehicles. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

Deutsche Banc Alex. Brown: assets under management

The assets under management (AUM) of Deutsche Banc Alex. Brown Inc. is $13.28 billion. The firm's AUM has grown by 18% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.41 billion in discretionary accounts and $9.87 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $661.24 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $7.77 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Deutsche Banc Alex. Brown Inc. for their services and products based on a percentage of assets under management, fixed fees, and commissions. Commissions are paid and earned by the adviser when a trade or a sales of an investment is made. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Deutsche Banc Alex. Brown Inc.

John Alan Ross has been acting as President since 1 Oct 1999. Charles Geza Vonarentschildt joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Deutsche Bank U.S. Financial Markets Holding Corp.	Stockholder	1 Dec 1987	75% - 100%	13-3131103
Mary Noreen Owen	Chief compliance officer	1 Dec 1998	Other	1024913
Grant Kvalheim	Vice chairman	1 Feb 1999	Other	1568779
Yves Christian Debalmann	Co-chairman/co-chief executive officer	1 Oct 1999	Other	1675429
Mayo A Iii Shattuck	Co-chairman/co-chief executive officer	1 Oct 1999	Other	1464321
John Alan Ross	Director	1 Oct 1999	Other	xxx-xx-xxxx
James Edward Virtue	Director/president	1 Oct 1999	Other	1236163
Thomas John Gavenda	Chief financial officer/finop	1 Jun 2000	Other	2154609
Michael Brian Kiernan	Director/chief operations officer	1 Aug 2000	Other	2091346
George Paul Stamas	Vice chairman	1 Aug 2000	Other	4162291
Margaret Mary Obrien	Srop/institutional	1 Oct 2000	Other	707224
Mark Elliot Paverman	Crop/institutional	1 Oct 2000	Other	1046105
David Michael Dipietro	Director	1 Jan 2001	Other	1574679
Daniel Joseph Donovan	Crop/retail	1 Jan 2001	Other	1163029
Benjamin Howell Iv Griswold	Senior chairman	1 Jan 2001	Other	230465
Stephen Thomas Mitchell	Srop/retail	1 Jan 2001	Other	337099
Kevin Edward Parker	Director	1 Jan 2001	Other	1412389
Thomas S Jr Schweizer	Director	1 Jan 2001	Other	416657
Seth Harrison Waugh	Director	1 Jan 2001	Other	1110987
Ernest Robert Cotter	Director	1 Mar 2001	Other	1671989
Seth Harrison Waugh	Chairman/chief executive officer/president	1 Sep 2001	Other	1110987
Thomas James Hughes	Director	1 Nov 2001	Other	1258975
Thomas Jr Schweizer	Managing director	1 Dec 2001	Other	416657
Brian Killefer	Srop/retail	1 Jan 2002	Other	1951407
Charles Geza Vonarentschildt	Director	1 Feb 2002	Other	1434663
David Michael Dipietro	Director	1 Feb 2002	Other	1574679

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Deutsche Bank Americas Holding Corp.	Shareholder	1 Sep 1992	25% - 50%	13-3645372
Deutsche Bank Ag	Shareholder	1 May 1999	75% - 100%	13-2944988
Taunus Corporation	Shareholder	1 Oct 1999	75% - 100%	13-4060471
Taunus Corporation	Shareholder	1 Sep 2000	25% - 50%	13-4060471

Based in New York

The principal office where Deutsche Banc Alex. Brown Inc. performs its advisory services is located at 31 West 52 Nd Street, New York, NY 10019, which is also the mailing address of the firm. An additional office of the firm is in Baltimore, MD. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-469-5000 or by fax N/A. The normal business hours are 9:00 a.m. to 5:00 p.m. on Monday - Friday.