Neville, Rodie & Shaw Inc (New York)

Name: Neville, Rodie & Shaw Inc
Address: 200 Madison Ave, New York, NY, 10016 3903
Telephone: 212-725-1440

Neville, Rodie & Shaw Inc is a large advisory firm based in New York. It manages $1.37 billion of regulatory assets for 856 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, Colorado, Connecticut, and 20 other states.

Neville, Rodie & Shaw provides portfolio management for individuals and small businesses and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Neville, Rodie & Shaw: assets under management

The assets under management (AUM) of Neville, Rodie & Shaw Inc is $1.37 billion. The firm's AUM has grown by 31% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.2 billion in discretionary accounts and $173.8 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.47 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $4.35 million.

Neville, Rodie & Shaw has custody of $339.22 million in cash and securities for 126 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 71% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 13% of the firm’s portfolio. Investments in investment grade corporate bonds form 6% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Neville, Rodie & Shaw Inc for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Charles Benjamin Johnson serves?

The firm provides services to individuals, charitable organizations, and high net worth individuals. The largest group of clients of Charles Benjamin Johnson is high net worth individuals with 219 clients and $1.18 billion of assets under management. Among the 10 most similar advisory firms, Neville, Rodie & Shaw has the 3rd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $1.35 billion for 374 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Neville, Rodie & Shaw doesn't advise any private funds.

Careers at Neville, Rodie & Shaw Inc

The company employs 14 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person 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.

Charles Benjamin Johnson has been acting as President since 1 Mar 2008. Sheila Newbold Scott joined the executive team most recently as the President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Charles Benjamin Johnson	Vice president	1 Feb 1987	Other	1729858
Merry Therese Ivanoff	Vice president	1 Dec 1989	Other	4347100
Diane Carter Aldrich	Vice president	1 Dec 1989	Other	1729821
Arthur Comstock Romaine	Vice president	1 Mar 1991	Other	403308
Parker Waite Silzer	Chairman	1 Jun 1997	25% - 50%	1729892
Denis Edward Loncto	President	1 Jun 1997	25% - 50%	1729890
Neil Patrick Nejame	Na	1 Feb 1998	Other	4347392
Cynthia Neville Pyle	Vice president	1 Feb 2002	Other	3056440
Joan Elizabeth Mcgreevy	Vice president	1 Jun 2002	Other	2204074
Sheila Newbold Scott	Vice president	1 Jun 2002	Other	2224763
Edwin Fewell Legard	Vice president	1 Jun 2002	Other	2229328
Joan Mcgreevy	Vice president	1 Jun 2002	Other	2204074
Sheila Scott	Vice president	1 Jun 2002	Other	2224763
Edwin Legard	Vice president	1 Jun 2002	Other	2229328
Frank Joseph Anastasi	Chief compliance officer / vice president	1 Jun 2004	Other	2412160
Mark Andrew Traver	Vice president	1 Jan 2007	Other	5286350
Brian Edward Leach	Vice president	1 Jan 2007	Other	5286339
Mark A. Traver	Vice president	1 Jan 2007	Other	5286350
Charles Benjamin Johnson	President	1 Mar 2008	25% - 50%	1729858
Neil Patrick Nejame	Treasurer, vice president	1 Mar 2008	Other	4347392
Denis Edward Loncto	Chairman	1 Mar 2008	25% - 50%	1729890
Jeffrey Norling Coe	Vice president	1 Mar 2013	Other	1190471
Reed Winfield Choate	Vice president	1 Aug 2015	Other	6216153
Sheila Newbold Scott	President	1 Nov 2015	Other	2224763
Charles Benjamin Johnson	Chairman	1 Nov 2015	25% - 50%	1729858

Based in New York

The principal office where Neville, Rodie & Shaw Inc performs its advisory services is located at 200 Madison Ave, New York, NY 10016 3903, 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 212-725-1440 or by fax 212-689-8746. The normal business hours are 9am-5pm on Monday - Friday. You can find more information about the New York firm at nevrodie.com.