WESTLB MELLON ASSET MANAGEMENT (USA) LLC
CRD #110618 SEC #801-57503 NEW YORK, NY 212-597-1175
SEC Registered
Total AUM
$95.6M
Discretionary
$95.6M
Employees
--
Clients
--
Accounts
7
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jan 25, 2007
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BRANDELY, CHRISTOPHER | I | ASSOCIATE DIRECTOR | NA | Control |
| BRANDELY, CHRISTOPHER | I | ASSOCIATE DIRECTOR | NA | Control |
| CAUDELL, GREGORY, K | I | HEAD OF NORTH AMERICA OPERATIONS/NON-OWNER | NA | Control |
| CAUDELL, GREGORY, K | I | HEAD OF NORTH AMERICA OPERATIONS | NA | Control |
| CAUDELL, GREGORY, K | I | HEAD OF NORTH AMERICA OPERATIONS/NON-OWNER | NA | Control |
| CAUDELL, GREGORY, K | I | HEAD OF NORTH AMERICA OPERATIONS/NON-OWNER | NA | Control |
| LIFTIN, TERRI, AMBRON | I | DIRECTOR AND CHIEF COMPLIANCE OFFICER | NA | Control |
| LIFTIN, TERRI, AMBRON | I | DIRECTOR AND CHIEF COMPLIANCE OFFICER | NA | Control |
| LIFTIN, TERRI, AMBRON | I | DIRECTOR AND CHIEF COMPLIANCE OFFICER | NA | Control |
| LIFTIN, TERRI, AMBRON | I | EXECUTIVE DIRECTOR AND CHIEF COMPLIANCE OFFICER | NA | Control |
| LIFTIN, TERRI, AMBRON | I | DIRECTOR AND CHIEF COMPLIANCE OFFICER | NA | Control |
| LIFTIN, TERRI, AMBRON | I | DIRECTOR AND CHIEF COMPLIANCE OFFICER | NA | Control |
| O'MALLEY, JOHN, D. | I | EXECUTIVE DIRECTOR | NA | Control |
| O'MALLEY, JOHN, D. | I | DIRECTOR | NA | Control |
| PHILLIPS, DONALD, WRIGHT | I | MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| PHILLIPS, DONALD, WRIGHT | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER/NON-OWNER | NA | Control |
| PHILLIPS, DONALD, WRIGHT | I | MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| PHILLIPS, DONALD, WRIGHT | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER/NON-OWNER | NA | Control |
| PHILLIPS, DONALD, WRIGHT | I | MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | NA | Control |
| PHILLIPS, DONALD, WRIGHT | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER/NON-OWNER | NA | Control |
| PODJASEK, JOHN, F. | I | EXECUTIVE DIRECTOR | NA | Control |
| PODJASEK, JOHN, F. | I | EXECUTIVE DIRECTOR | NA | Control |
| PODJASEK, JOHN, F. | I | EXECUTIVE DIRECTOR | NA | Control |
| PORTES, SUSAN, LIFSEY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER/NON-OWNER | NA | Control |
| PORTES, SUSAN, LIFSEY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER/NON-OWNER | NA | Control |
| PORTES, SUSAN, LIFSEY | I | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER/NON-OWNER | NA | Control |
| PORTES, SUSAN, LIFSEY | I | HEAD OF COMPLIANCE | NA | Control |
| PORTES, SUSAN, LIFSEY | I | MANAGING DIRECTOR, HEAD OF COMPLIANCE/NON-OWNER | NA | Control |
| PORTES, SUSAN, LIFSEY | I | HEAD OF COMPLIANCE | NA | Control |
| PORTES, SUSAN, LIFSEY | I | MANAGING DIRECTOR, HEAD OF COMPLIANCE/NON-OWNER | NA | Control |
| PORTES, SUSAN, LIFSEY | I | HEAD OF COMPLIANCE | NA | Control |
| PORTES, SUSAN, LIFSEY | I | EXECUTIVE DIRECTOR, HEAD OF COMPLIANCE/NON-OWNER | NA | Control |
| SZIRMAI, STEPHAN, LADISLAUS | I | HEAD OF NORTH AMERICA OPERATIONS | NA | Control |
| SZIRMAI, STEPHAN, LADISLAUS | I | HEAD OF NORTH AMERICA OPERATIONS | NA | Control |
| TURNER, DAVID, CHARLES | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER/NON-OWNER | NA | Control |
| TURNER, DAVID, CHARLES | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER/NON-OWNER | NA | Control |
| TURNER, DAVID, CHARLES | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER/NON-OWNER | NA | Control |
| TURNER, DAVID, CHARLES | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER/NON-OWNER | NA | Control |
| TURNER, DAVID, CHARLES | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER/NON-OWNER | NA | Control |
| TURNER, DAVID, CHARLES | I | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER/NON-OWNER | NA | Control |
| VISH, RAVI | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| VISH, RAVI | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| VISH, RAVI | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| VORBACH, MARK, ADRIAN | I | REGIONAL CHIEF EXECUTIVE OFFICER FOR NORTH AMERICA/NON-OWNER | NA | Control |
| VORBACH, MARK, ADRIAN | I | REGIONAL CHIEF EXECUTIVE OFFICER FOR NORTH AMERICA/NON-OWNER | NA | Control |
| VORBACH, MARK, ADRIAN | I | REGIONAL CHIEF EXECUTIVE OFFICER FOR NORTH AMERICA/NON-OWNER | NA | Control |
| DUSSKAPITAL VIERZEHN BETEILIGUNGSGESELLSCHAFT MBH | FE | MEMBER | E | Control |
| WESTAM HOLDING GMBH, DUSSELDORF | FE | MEMBER | E | Control |
| WESTAM HOLDING GMBH, DUSSELDORF | FE | MEMBER | E | Control |
| WESTAM HOLDING GMBH, DUSSELDORF | FE | MEMBER | E | Control |
| WESTAM HOLDING GMBH, DUSSELDORF | FE | MEMBER | E | Control |
| WESTAM HOLDING GMBH, DUSSELDORF | FE | MEMBER | E | Control |
| WESTAM HOLDING GMBH, DUSSELDORF | FE | MEMBER | E | Control |
| WESTLB ASSET MANAGEMENT HOLDINGS LIMITED | FE | PARENT COMPANY | E | Control |
| WESTLB ASSET MANAGEMENT HOLDINGS LIMITED | FE | PARENT COMPANY | E | Control |
| WESTLB MELLON ASSET MANAGEMENT HOLDINGS LIMITED | FE | PARENT COMPANY | E | Control |
| WESTLB MELLON ASSET MANAGEMENT HOLDINGS LIMITED | FE | PARENT COMPANY | E | Control |
| WESTLB MELLON ASSET MANAGEMENT HOLDINGS LIMITED | FE | PARENT COMPANY | E | Control |
| WESTLB MELLON ASSET MANAGEMENT HOLDINGS LIMITED | FE | PARENT COMPANY | E | Control |
| WESTLB MELLON ASSET MANAGEMENT HOLDINGS LIMITED | FE | PARENT COMPANY | E | Control |
| WESTLB MELLON ASSET MANAGEMENT HOLDINGS LIMITED | FE | PARENT COMPANY | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| BNY MELLON ASSET MANAGEMENT INTERNATIONAL HOLDINGS LTD | FE | MELLON JV LIMITED | E | Control |
| BNY MELLON ASSET MANAGEMENT INTERNATIONAL HOLDINGS LTD | FE | MELLON JV LIMITED | E | Control |
| MBC INVESTMENTS CORP. | DE | NEPTUNE LLC | E | Control |
| MBC INVESTMENTS CORP. | DE | NEPTUNE LLC | E | Control |
| MBC INVESTMENTS CORP. | DE | NEPTUNE LLC | E | Control |
| MBC INVESTMENTS CORP. | DE | NEPTUNE LLC | E | Control |
| MBC INVESTMENTS CORP. | DE | NEPTUNE LLC | E | Control |
| MBC INVESTMENTS CORP. | DE | NEPTUNE LLC | E | Control |
| MELLON FINANCIAL CORPORATION | DE | MBC INVESTMENTS CORP. | E | Control |
| MELLON FINANCIAL CORPORATION | DE | MBC INVESTMENTS CORP. | E | Control |
| MELLON FINANCIAL CORPORATION | DE | MBC INVESTMENTS CORP. | E | Control |
| MELLON FINANCIAL CORPORATION | DE | MBC INVESTMENTS CORP. | E | Control |
| MELLON INTERNATIONAL HOLDINGS SARL | FE | MELLON INTERNATIONAL LIMITED | E | Control |
| MELLON INTERNATIONAL HOLDINGS SARL | FE | MELLON INTERNATIONAL LIMITED | E | Control |
| MELLON INTERNATIONAL LIMITED | FE | MGI (HOLDINGS) LIMITED | E | Control |
| MELLON INTERNATIONAL LIMITED | FE | MGI (HOLDINGS) LIMITED | E | Control |
| MELLON INTERNATIONAL LIMITED | FE | MGI (HOLDINGS) LIMITED | E | Control |
| MELLON INTERNATIONAL LIMITED | FE | BNY MELLON ASSET MANAGEMENT INTERNATIONAL HOLDINGS LIMITED | E | Control |
| MELLON INTERNATIONAL LIMITED | FE | MGI (HOLDINGS) LIMITED | E | Control |
| MELLON INTERNATIONAL LIMITED | FE | BNY MELLON ASSET MANAGEMENT INTERNATIONAL HOLDINGS LIMITED | E | Control |
| MGI (HOLDINGS) LIMITED | FE | MELLON JV LIMITED | E | Control |
| MGI (HOLDINGS) LIMITED | FE | MELLON JV LIMITED | E | Control |
| MGI (HOLDINGS) LIMITED | FE | MELLON JV LIMITED | E | Control |
| MGI (HOLDINGS) LIMITED | FE | MELLON JV LIMITED | E | Control |
| NEPTUNE LLC | DE | MELLON INTERNATIONAL LIMITED | E | Control |
| NEPTUNE LLC | DE | MELLON INTERNATIONAL LIMITED | E | Control |
| NEPTUNE LLC | DE | MELLON INTERNATIONAL LIMITED | E | Control |
| NEPTUNE LLC | DE | MELLON INTERNATIONAL HOLDINGS SARL | E | Control |
| NEPTUNE LLC | DE | MELLON INTERNATIONAL LIMITED | E | Control |
| NEPTUNE LLC | DE | MELLON INTERNATIONAL HOLDINGS SARL | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | MBC INVESTMENTS CORP. | E | Control |
| THE BANK OF NEW YORK MELLON CORPORATION | DE | MBC INVESTMENTS CORP. | E | Control |
| WESTDEUTSCHE LANDESBANK GIROZENTRALE | FE | DUSSKAPITAL VIERZEHN BETEILIGUNGSGESELLSCHAFT MBH | E | Control |
| WESTDEUTSCHE LANDESBANK GIROZENTRALE | FE | WESTAM HOLDING GMBH | E | Control |
| WESTDEUTSCHE LANDESBANK GIROZENTRALE | FE | WESTAM HOLDING GMBH | E | Control |
| WESTLB AG | FE | WESTLB ASSET MANAGEMENT HOLDINGS LIMITED | E | Control |
| WESTLB AG | FE | WESTAM HOLDING GMBH | E | Control |
| WESTLB AG | FE | WESTLB ASSET MANAGEMENT HOLDINGS LIMITED | E | Control |
| WESTLB AG | FE | WESTAM HOLDING GMBH | E | Control |
| WESTLB AG | FE | WESTAM HOLDING GMBH | E | Control |
| WESTLB AG | FE | WESTAM HOLDING GMBH | E | Control |
| MELLON JV LIMITED | DE | WESTLB MELLON ASSET MANAGEMENT HOLDINGS LIMITED | D | Control |
| MELLON JV LIMITED | DE | WESTLB MELLON ASSET MANAGEMENT HOLDINGS LIMITED | D | Control |
| MELLON JV LIMITED | FE | WESTLB MELLON ASSET MANAGEMENT HOLDINGS LIMITED | D | Control |
| MELLON JV LIMITED | FE | WESTLB MELLON ASSET MANAGEMENT HOLDINGS LIMITED | D | Control |
| MELLON JV LIMITED | FE | WESTLB MELLON ASSET MANAGEMENT HOLDINGS LIMITED | D | Control |
| MELLON JV LIMITED | FE | WESTLB MELLON ASSET MANAGEMENT HOLDINGS LIMITED | D | Control |
| WESTLB AG | FE | WESTLB MELLON ASSET MANAGEMENT HOLDINGS LIMITED | D | Control |
| WESTLB AG | FE | WESTLB MELLON ASSET MANAGEMENT HOLDINGS LIMITED | D | Control |
| WESTLB AG | FE | WESTLB MELLON ASSET MANAGEMENT HOLDINGS LIMITED | D | Control |
| WESTLB AG | FE | WESTLB MELLON ASSET MANAGEMENT HOLDINGS LIMITED | D | Control |
| WESTLB AG | FE | WESTLB MELLON ASSET MANAGEMENT HOLDINGS LIMITED | D | Control |
| WESTLB AG | FE | WESTLB MELLON ASSET MANAGEMENT HOLDINGS LIMITED | D | Control |
Registrations
Federal
IA
Jan 25, 2007 REGISTERED
Address
1185 AVENUE OF THE AMERICASNEW YORK, NY 10036
USA
Phone: 212-597-1175