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C.E. Unterberg Towbin Advisors, LLC (New York)


C.E. Unterberg Towbin Advisors, LLC is a pension cosultant based in New York. It manages $10.4 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of California, Florida, New Mexico, and 3 other states.

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C.E. Unterberg Towbin Advisors provides 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.

C.E. Unterberg Towbin Advisors: assets under management

The assets under management (AUM) of C.E. Unterberg Towbin Advisors, LLC is $10.4 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -95% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $10.4 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $5.2 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay C.E. Unterberg Towbin Advisors, LLC for their services and products based on a percentage of assets under management and performance-based fees. 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 C.E. Unterberg Towbin Advisors, LLC

James William Weil has been acting as President since 1 Jan 2001. John Joseph Abularrage joined the executive team most recently as the Executive Chairman.

Direct owners and executive officers



Name Entity Date acquired Ownership Employer ID
C. E. Unterberg Inc. General partner 1 May 1989 Other 13-3495144
Andrew Arno Inc. General partner 1 Aug 1990 Other 13-3586726
Robert M. Matluck Inc. General partner 1 Aug 1990 Other 13-3586723
Lavitt Management Inc. General partner 1 Aug 1992 Other 13-3586726
Thomas Israel Unterberg Executive committee member 1 Jan 1993 25% - 50% 451739
Robert Michael Matluck Executive committee member 1 Jan 1993 Other 1185892
James W. Weil Corp. General partner 1 Jan 1995 Other 13-3804119
Jeffrey C. Moskowitz Ltd. General partner 1 Jan 1998 Other 13-3985918
Kodiak Llc General partner 1 Jan 1998 Other 13-3868429
Marrus Corp. General partner 1 Jul 1998 Other 13-4007776
Robert Lewis Thompson Chief financial officer 1 Jul 1998 Other 2293274
Ltd. Branigan Holdings General partner 1 Aug 1999 Other 13-4084270
James Singer Corp. General partner 1 Sep 1999 Other 13-4084341
Mitchell Meisler Inc. General partner 1 Oct 1999 Other 13-4084375
Adam Ritzer Inc. General partner 1 Nov 1999 Other 13-4085108
Ol Tawes Inc. General partner 1 Nov 1999 Other 13-4089994
Bob Thompson Corp. General partner 1 Jan 2000 Other 13-4096966
James T. Whipple Corp. General partner 1 Jan 2000 Other 13-4099165
M. O'connor Inc. General partner 1 Jan 2000 Other 13-4100174
Mark Levy Ltd. General partner 1 Jan 2000 Other 13-4100147
Stephen Adler Inc. General partner 1 Jan 2000 Other 13-4100102
James William Weil President/ceo 1 Jan 2001 Other 2181268
Eckhardt Corp. General partner 1 Apr 2001 Other 13-4162516
Inc. Gutfreund & Co. General partner 1 Jan 2002 Other xxx-xx-xxxx
S.J. Dora General partner 1 Jan 2002 Other 80-0034270
Sts Corp General partner 1 Jan 2002 Other 33-1041475
Gallagher C. Ltd. General partner 1 Oct 2002 Other 13-4210410
Michael J. Krasko Inc. General partner 1 Oct 2002 Other 13-3257787
Daddy Haddy Inc. General partner 1 Jul 2003 Other 06-1687847
Sklar Corp General partner 1 Jul 2003 Other 55-0846350
Jon C. Pollak General partner 1 Jul 2003 Other xxx-xx-xxxx
Towbin Holdings Llc. C. E. Unterberg Sole shareholder 1 Dec 2003 75% - 100% 13-3495144
Llc Utcm General partner 1 Dec 2003 Other 13-3906471
Towbin Holdings Inc. C. E. Unterberg Sole shareholder 1 Dec 2003 75% - 100% 13-3495144
Mark Graban Hadlock Secretary & cco 1 Dec 2003 Other 3246332
Andrew Arno Ceo 1 Dec 2004 Other 1021807
Thomas Israel Unterberg Non-executive chairman 1 Dec 2004 25% - 50% 451739
David Michael Barrett Chief financial officer 1 May 2005 Other 3133510
Michael Carl Sulfaro Cco 1 Jul 2005 Other 2483562
Andrew Leon Berger Chairman of advisors 1 Jan 2006 Other 1053795
John Peter Gutfreund Trader 1 Feb 2006 Other 4989763
Mel Stuart Lavitt Chairman of advisors 1 Jun 2006 Other 303836
Robert Michael Matluck Coo & president 1 Sep 2006 Other 1185892
Martha Addams Choy Chief compliance officer 1 May 2007 Other 1979089
Richard Anthony Sorrentino Chief compliance officer 1 Aug 2007 Other 430898
Collins Stewart Inc Sole shareholder 1 Aug 2007 75% - 100% 13-4007004
Shawn Damien Mcloughlin Executive chairman 1 Aug 2007 Other 1665431
Alan Pasquale Borrelli Chief financial officer 1 Aug 2007 Other 2655912
David Michael Barrett Cfo 1 Oct 2008 Other 3133510
John Joseph Abularrage Executive chairman 1 Jan 2009 Other 3265633

Indirect Owners

The SEC currently registers 34 indirect owners.

Name Entity Date acquired Ownership Employer ID
Andrew Arno President 1 Aug 1990 75% - 100% 1021807
Mel Stuart Lavitt President 1 Feb 1993 75% - 100% 303836
Robert Michael Matluck President 1 Feb 1993 75% - 100% 1185892
Thomas Israel Unterberg President 1 Feb 1993 75% - 100% 451739
James William Weil President 1 Jan 1995 75% - 100% 2181268
Andrew Maximillian Blum President 1 Jan 1998 75% - 100% 24116
Jeffrey Craig Moskowitz President 1 Jan 1998 75% - 100% 1058165
Michael Edwin Marrus President 1 Jul 1998 75% - 100% 1941034
Mark Christopher Branigan President 1 Aug 1999 75% - 100% 871163
James Alan Singer President 1 Sep 1999 75% - 100% 859841
Mitchell Ross Meisler President 1 Oct 1999 75% - 100% 1271863
Adam Robert Ritzer President 1 Nov 1999 75% - 100% 1057194
Orrie Lee Tawes President 1 Nov 1999 75% - 100% 442987
Stephen Joseph Adler President 1 Jan 2000 75% - 100% 819059
Mark Lewis Levy President 1 Jan 2000 75% - 100% 1049720
Michelle Paula Oconnor President 1 Jan 2000 75% - 100% 2686541
Robert Lewis Thompson President 1 Jan 2000 75% - 100% 2293274
James Thomas Whipple President 1 Jan 2000 75% - 100% 1417979
Charles Cole Eckhardt President 1 Apr 2001 75% - 100% 708756
John Halle Gutfreund President 1 Jan 2002 75% - 100% xxx-xx-xxxx
Stephen John Dora President 1 Jan 2002 75% - 100% 2470840
Kalpesh Gopalpas Kapadia President 1 Jan 2002 75% - 100% 3257326
Michael John Krasko President 1 Oct 2002 75% - 100% 275001
Christine C Gallagher President 1 Oct 2002 75% - 100% 2741442
Jeffrey Stuart Sklar President 1 Jul 2003 75% - 100% 2006213
John Creighton Pollak President 1 Jul 2003 75% - 100% 2116666
Stanley B Stern President 1 Jul 2003 75% - 100% 721616
Mark G Hadlock President 1 Jul 2003 75% - 100% 3246332
Robert Lewis Thompson Treasurer 1 Dec 2003 25% - 50% 2293274
James William Weil President 1 Dec 2003 25% - 50% 2181268
Mark G Hadlock President 1 Dec 2003 25% - 50% 3246332
Towbin Holdings Llc. C.E. Unterberg Sole shareholder 1 Dec 2003 75% - 100% 13-3495144
Towbin Holdings Inc. C.E. Unterberg Sole shareholder 1 Dec 2003 75% - 100% 13-3495144
Inc. C.E. Unterberg Sole shareholder 1 Dec 2003 25% - 50% 20-2582856

Based in New York

The principal office where C.E. Unterberg Towbin Advisors, LLC performs its advisory services is located at 350 Madison Avenue, New York, NY 10017, 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 212-389-8000 or by fax 212-389-8848. The normal business hours are 9am to 5pm on Monday - Friday. You can find more information about the New York firm at www.unterberg.com.


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