Asset Alliance Advisors Inc. (New York)

Name: Asset Alliance Advisors Inc.
Address: 800 Third Avenue, 22 Nd Fl., New York, NY, 10022
Telephone: 212-207-8786

Asset Alliance Advisors Inc. is a mid-sized advisory firm based in New York. It manages $26.8 million of regulatory assets for 25 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Florida and New York.

Asset Alliance 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.

Asset Alliance Advisors: assets under management

The assets under management (AUM) of Asset Alliance Advisors Inc. is $26.8 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -93% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $26.8 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.07 million each.

Asset Alliance Advisors has custody of $26.8 million in cash and securities for 5 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Asset Alliance 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 Asset Alliance Advisors Inc.

Mark Paul Strauch has been acting as President since 1 Sep 1997. Nathan Charles Gorin joined the executive team most recently as the Cfo.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Bruce Howard Lipnick	Chief executive officer & cco	1 Sep 1997	Other	1095377
Asset Alliance Holding Corp.	Shareholder in aaa inc.	1 Sep 1997	75% - 100%	51-0375705
Arnold Lawrance Mintz	Evp and secretary	1 Sep 1997	Other	1223403
Mark Paul Strauch	Director	1 Sep 1997	Other	4782876
David Richard Long	Director	1 Sep 1997	Other	4782884
Arnold Lawrence Mintz	Evp, secretary and director	1 Sep 1997	Other	1223403
Jeffrey Mark Moses	Svp and ass't secretary	1 Sep 1998	Other	2176713
Michael William Azlen	Managing director	1 Sep 1999	Other	4505748
Stephen Gerard Bondi	Svp and cfo	1 Jul 2000	Other	1081770
Bennett Craig Degen	Vice president and director of risk management	1 Dec 2000	Other	4386678
Jeffrey Mark Moses	Svp and dir. of investment research	1 Nov 2001	Other	2176713
Xiao Hong Jing	Senior vice president and general counsel	1 Nov 2001	Other	4506511
Xin Wu	Executive vice president	1 Jun 2002	Other	6266641
Samantha Rick	Chief compliance officer	1 Jan 2006	Other	2595462
Nathan Charles Gorin	Chief financial officer	1 May 2010	Other	1968383
Nathalie Ann Dalrymple	Chief financial officer	1 Sep 2011	Other	4471964
Anthony Robert Ciliberti	Chief compliance officer	1 Oct 2013	Other	1288865
Stuart Richard Polansky	Chief financial officer	1 Apr 2014	Other	1966455
David Matthew Konits	Cco & gsp	1 Sep 2014	Other	2531617
Nathan Charles Gorin	Cfo	1 Mar 2015	Other	1968383

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Asset Alliance Corporation	Shareholder in aahc	1 Jun 1996	75% - 100%	13-3808903
Inc. Ajg Financial Services	Shareholder in aac	1 Jul 1996	25% - 50%	36-4092112
Arthur J. Gallagher & Co. Inc.	Shareholder in fsi	1 Jul 1996	75% - 100%	36-2681781

Based in New York

The principal office where Asset Alliance Advisors Inc. performs its advisory services is located at 800 Third Avenue, 22 Nd Fl., New York, NY 10022, 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 212-207-8786 or by fax 212-207-8785. The normal business hours are 9:00am - 6:00pm on Monday - Friday. You can find more information about the New York firm at assetalliance.com.