KBW ASSET MANAGEMENT INC
Legal name: KBW ASSET MANAGEMENT, INC.
CRD #111184 SEC #802-74678 NEW YORK, NY 212-887-7777
State Registered Exempt Reporting Private Funds
Total AUM
$201M
Discretionary
$201M
Employees
--
Clients
0
Accounts
4
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 11, 2012
- 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 |
|---|---|---|---|---|
| CROMWELL, ROBERT, DIXON | I | CHIEF LEGAL OFFICER | NA | Control |
| CROMWELL, ROBERT, DIXON | I | CHIEF LEGAL OFFICER | NA | Control |
| CROMWELL, ROBERT, DIXON | I | CHIEF LEGAL OFFICER | NA | Control |
| CROMWELL, ROBERT, DIXON | I | CHIEF LEGAL OFFICER | NA | Control |
| CROMWELL, ROBERT, DIXON | I | CHIEF LEGAL OFFICER | NA | Control |
| CROMWELL, ROBERT, DIXON | I | CHIEF LEGAL OFFICER | NA | Control |
| CROMWELL, ROBERT, DIXON | I | CHIEF LEGAL OFFICER | NA | Control |
| CROMWELL, ROBERT, DIXON | I | CHIEF LEGAL OFFICER | NA | Control |
| CROMWELL, ROBERT, DIXON | I | PRESIDENT | NA | Control |
| CROMWELL, ROBERT, DIXON | I | PRESIDENT | NA | Control |
| CROMWELL, ROBERT, DIXON | I | CHIEF LEGAL OFFICER | NA | Control |
| CROMWELL, ROBERT, DIXON | I | CHIEF LEGAL OFFICER | NA | Control |
| CROMWELL, ROBERT, DIXON | I | CHIEF LEGAL OFFICER | NA | Control |
| DUFFY, JOHN, GERALD | I | DIRECTOR | NA | Control |
| DUFFY, JOHN, GERALD | I | DIRECTOR | NA | Control |
| DUFFY, JOHN, GERALD | I | DIRECTOR | NA | Control |
| DUFFY, JOHN, GERALD | I | DIRECTOR AND PRESIDENT | NA | Control |
| DUFFY, JOHN, GERALD | I | DIRECTOR | NA | Control |
| DUFFY, JOHN, GERALD | I | DIRECTOR | NA | Control |
| DUFFY, JOHN, GERALD | I | DIRECTOR AND PRESIDENT | NA | Control |
| DUFFY, JOHN, GERALD | I | DIRECTOR AND PRESIDENT | NA | Control |
| DUFFY, JOHN, GERALD | I | DIRECTOR | NA | Control |
| GIAMBRONE, ROBERT | I | DIRECTOR | NA | Control |
| GIAMBRONE, ROBERT | I | DIRECTOR | NA | Control |
| GIAMBRONE, ROBERT | I | DIRECTOR | NA | Control |
| GIAMBRONE, ROBERT | I | DIRECTOR | NA | Control |
| JOHNSTONE, MARY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JOHNSTONE, MARY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JOHNSTONE, MARY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JOHNSTONE, MARY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JOHNSTONE, MARY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JOHNSTONE, MARY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JOHNSTONE, MARY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JOHNSTONE, MARY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JOHNSTONE, MARY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JOHNSTONE, MARY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KLEINMAN, MITCHELL, B. | I | DIRECTOR | NA | Control |
| KLEINMAN, MITCHELL, B. | I | DIRECTOR | NA | Control |
| KLEINMAN, MITCHELL, B. | I | DIRECTOR | NA | Control |
| KLEINMAN, MITCHELL, B. | I | DIRECTOR | NA | Control |
| LOTT, CHARLES, HOWELL | I | CHAIRMAN | NA | |
| LOTT, CHARLES, HOWELL | I | CHAIRMAN | NA | |
| NORDBERG, EDGAR, WAYNE | I | VICE CHAIRMAN | NA | |
| NORDBERG, EDGAR, WAYNE | I | VICE CHAIRMAN | NA | |
| OBRIEN, MICHAEL, THOMAS | I | PRESIDENT | NA | Control |
| OBRIEN, MICHAEL, THOMAS | I | CEO | NA | Control |
| OBRIEN, MICHAEL, THOMAS | I | PRESIDENT | NA | Control |
| OBRIEN, MICHAEL, THOMAS | I | CEO | NA | Control |
| OBRIEN, MICHAEL, THOMAS | I | PRESIDENT | NA | |
| OBRIEN, MICHAEL, THOMAS | I | CEO | NA | |
| OBRIEN, MICHAEL, THOMAS | I | PRESIDENT | NA | |
| OBRIEN, MICHAEL, THOMAS | I | CEO | NA | |
| OBRIEN, MICHAEL, THOMAS | I | PRESIDENT/CEO | NA | |
| OBRIEN, MICHAEL, THOMAS | I | PRESIDENT/CEO | NA | |
| ROTH, PETER, E | I | CEO | NA | Control |
| ROTH, PETER, E | I | CEO | NA | Control |
| ROTH, PETER, E | I | CEO | NA | Control |
| ROTH, PETER, E | I | CEO | NA | Control |
| ROTH, PETER, E | I | CEO | NA | Control |
| ROTH, PETER, E | I | CEO | NA | Control |
| ROTH, PETER, E | I | CEO | NA | Control |
| ROTH, PETER, E | I | CEO | NA | Control |
| SENCHAK, ANDREW, M | I | DIRECTOR | NA | Control |
| SENCHAK, ANDREW, M | I | DIRECTOR | NA | Control |
| SENCHAK, ANDREW, M | I | DIRECTOR | NA | Control |
| TOMAO, JOHN, LOUIS | I | CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| TOMAO, JOHN, LOUIS | I | CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| TOMAO, JOHN, LOUIS | I | CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| TOMAO, JOHN, LOUIS | I | CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| TOMAO, JOHN, LOUIS | I | CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| TOMAO, JOHN, LOUIS | I | CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| TOMAO, JOHN, LOUIS | I | CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| TOMAO, JOHN, LOUIS | I | CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| TOMAO, JOHN, LOUIS | I | CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| TOMAO, JOHN, LOUIS | I | CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| TOMAO, JOHN, LOUIS | I | CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| TOMAO, JOHN, LOUIS | I | CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| TOMAO, JOHN, LOUIS | I | CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| TOMAO, JOHN, LOUIS | I | CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| TOMAO, JOHN, LOUIS | I | CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| TOMAO, JOHN, LOUIS | I | CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| TOMAO, JOHN, LOUIS | I | CHIEF ADMINSTRATIVE OFFICER | NA | Control |
| KBW, INC. | DE | SHAREHOLDER | E | Control |
| KBW, INC. | DE | SHAREHOLDER | E | Control |
| KBW, INC. | DE | SHAREHOLDER | E | Control |
| KBW, INC. | DE | SHAREHOLDER | E | Control |
| KBW, INC. | DE | SHAREHOLDER | E | Control |
| KBW, INC. | DE | SHAREHOLDER | E | Control |
| KBW, INC. | DE | SHAREHOLDER | E | Control |
| KBW, INC. | DE | SHAREHOLDER | E | Control |
| KBW, INC. | DE | SHAREHOLDER | E | Control |
| KBW, INC. | DE | SHAREHOLDER | E | Control |
| KBW, INC. | DE | SHAREHOLDER | E | Control |
| KBW, INC. | DE | SHAREHOLDER | E | Control |
| KBW, INC. | DE | SHAREHOLDER | E | Control |
| KBW, LLC | DE | SHAREHOLDER | E | Control |
| KBW, LLC | DE | SHAREHOLDER | E | Control |
| KBW, LLC | DE | SHAREHOLDER | E | Control |
| KBW, LLC | DE | SHAREHOLDER | E | Control |
| KBW, LLC | DE | SHAREHOLDER | E | Control |
| KBW, LLC | DE | SHAREHOLDER | E | Control |
| KEEFE, BRUYETTE & WOODS, INC. | DE | STOCKHOLDER | E | Control |
| KEEFE, BRUYETTE & WOODS, INC. | DE | STOCKHOLDER | E | Control |
| KEEFE, BRUYETTE & WOODS, INC. | DE | STOCKHOLDER | E | Control |
| KEEFE, BRUYETTE & WOODS, INC. | DE | STOCKHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| STIFEL FINANCIAL CORP | DE | KBW, LLC | E | Control |
| STIFEL FINANCIAL CORP | DE | KBW, LLC | E | Control |
| STIFEL FINANCIAL CORP | DE | KBW, LLC | E | Control |
| STIFEL FINANCIAL CORP | DE | KBW, LLC | E | Control |
| STIFEL FINANCIAL CORP | DE | KBW, LLC | E | Control |
| STIFEL FINANCIAL CORP | DE | KBW, LLC | E | Control |
Registrations
Federal
ERA
May 11, 2012 REGISTERED
Address
787 SEVENTH AVENUENEW YORK, NY 10019
United States
Phone: 212-887-7777