Vanderbilt Capital Advisors LLC (Chicago)

Vanderbilt Capital Advisors LLC is a large advisory firm based in Chicago. It manages $1.17 billion of regulatory assets for 9 client accounts. It has been registered with the SEC as an adviser since 2001.

Vanderbilt Capital Advisors provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Vanderbilt Capital Advisors: assets under management

The assets under management (AUM) of Vanderbilt Capital Advisors LLC is $1.17 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -74% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.17 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $130.54 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Vanderbilt Capital 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 Vanderbilt Capital Advisors LLC

Kenneth James Taubes has been acting as President since 1 Dec 2007. Gregg Matthew Dooling joined the executive team most recently as the President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Emad A Zikry	President, ceo & beneficial owner of vanderbilt holdings	1 Nov 1997	75% - 100%	1826438
Charles Crawford Field	Managing director	1 Nov 1997	Other	1732707
Thomas Goepfert	Managing director	1 Nov 1997	Other	1825991
Scott Mayfield Harrington	Executive vice president	1 Nov 1997	Other	1423070
Llc Vanderbilt Capital Advisors Holdings	Beneficial owner	1 Nov 1997	75% - 100%	13-3949896
Thomas Anthony Goepfert	Managing director	1 Nov 1997	Other	1825991
James Joseph Coleridge	Chief administrative officer	1 Feb 2000	Other	1843166
James Joseph Coleridge	Chief financial officer	1 Jun 2002	Other	1843166
Ronald Henry Thelin	Chief administrative officer	1 Jun 2002	Other	1771237
John Hall Pankratz	Chief administrative officer	1 Apr 2004	Other	1324503
Kurt Florian	Chief operating officer & counsel - structured finance group	1 Sep 2005	Other	5479289
Inc. Pioneer Institutional Asset Management	Beneficial owner	1 Jun 2006	75% - 100%	138756
Osbert Martin Hood	Chairman & director	1 Jun 2006	Other	2880310
Charles Peter Mayer	Director	1 Jun 2006	Other	837324
Mark David Goodwin	Director	1 Jun 2006	Other	2947625
Daniel Kingsbury	Chairman & director	1 Mar 2007	Other	2079405
Marco Pirondini	Executive vice president	1 Jul 2007	Other	4922779
Daniel Keith Kingsbury	Chairman & director	1 Jul 2007	Other	2079405
Joseph Carlino	Chief compliance officer	1 Aug 2007	Other	4432985
Marco Pirondini	Director	1 Aug 2007	Other	4922779
Anthony John Koenig	Chief financial officer	1 Aug 2007	Other	2669997
Kenneth James Taubes	Director	1 Dec 2007	Other	3137537
Mark David Goodwin	President and chief operating officer	1 Dec 2007	Other	2947625
Daniel Keith Kingsbury	Chairman & chief executive officer	1 Dec 2007	Other	2079405
Edward Joseph Ohara	Senior managing director - structured finance group	1 Dec 2007	Other	1505365
Gregg Matthew Dooling	Chief financial officer	1 Sep 2008	Other	2648075
Jean M Bradley	Chief compliance officer	1 Jul 2012	Other	835988
Gregg Matthew Dooling	President	1 Oct 2014	Other	2648075
Christopher Edward Saulnier	Chief financial officer	1 Oct 2014	Other	4607979

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Unicredit S.P.A.	Owner	1 Jun 2006	75% - 100%	foreign entity
Pioneer Global Asset Management S.P.A.	Owner	1 Jun 2006	75% - 100%	271084
Pioneer Investment Management Usa Inc.	Owner	1 Jun 2006	75% - 100%	13-5657669
Unicredito Italiano S.P.A.	Owner	1 Jun 2006	75% - 100%	foreign entity

Based in Chicago

The principal office where Vanderbilt Capital Advisors LLC performs its advisory services is located at 10 S. Lasalle Street, Suite 1901, Chicago, IL 60603, 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 312-463-9100 or by fax 312-463-0116. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday.