ASSET ALLIANCE ADVISORS INC.
CRD #113598 SEC #801-60349 NEW YORK, NY 212-207-8786
SEC Registered
Total AUM
$26.8M
Discretionary
$26.8M
Employees
10
Clients
--
Accounts
25
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Dec 4, 2015
- 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 |
|---|---|---|---|---|
| AZLEN, MICHAEL, WILLIAM | I | MANAGING DIRECTOR | NA | Control |
| BONDI, STEPHEN, GERARD | I | SVP & CHIEF FINANCIAL OFFICER | NA | Control |
| BONDI, STEPHEN, GERARD | I | SVP & CHIEF FINANCIAL OFFICER | NA | Control |
| BONDI, STEPHEN, GERARD | I | SVP & CHIEF FINANCIAL OFFICER | NA | Control |
| BONDI, STEPHEN, GERARD | I | SVP & CHIEF FINANCIAL OFFICER | NA | Control |
| BONDI, STEPHEN, GERARD | I | EVP & CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | NA | Control |
| BONDI, STEPHEN, GERARD | I | SVP AND CFO | NA | Control |
| BONDI, STEPHEN, GERARD | I | SVP AND CFO | NA | Control |
| BONDI, STEPHEN, GERARD | I | SVP & CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | NA | Control |
| BONDI, STEPHEN, GERARD | I | SVP & CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | NA | Control |
| BONDI, STEPHEN, GERARD | I | SVP AND CFO | NA | Control |
| CILIBERTI, ANTHONY, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| CILIBERTI, ANTHONY, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| CILIBERTI, ANTHONY, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| CILIBERTI, ANTHONY, ROBERT | I | GSP | NA | |
| DALRYMPLE, NATHALIE, ANN | I | CHIEF FINANCIAL OFFICER | NA | |
| DALRYMPLE, NATHALIE, ANN | I | CHIEF FINANCIAL OFFICER | NA | |
| DALRYMPLE, NATHALIE, ANN | I | CHIEF FINANCIAL OFFICER | NA | |
| DALRYMPLE, NATHALIE, ANN | I | CHIEF FINANCIAL OFFICER | NA | |
| DALRYMPLE, NATHALIE, ANN | I | CHIEF FINANCIAL OFFICER | NA | |
| DALRYMPLE, NATHALIE, ANN | I | CHIEF FINANCIAL OFFICER | NA | |
| DALRYMPLE, NATHALIE, ANN | I | CHIEF FINANCIAL OFFICER | NA | |
| DALRYMPLE, NATHALIE, ANN | I | CHIEF FINANCIAL OFFICER | NA | |
| DALRYMPLE, NATHALIE, ANN | I | CHIEF FINANCIAL OFFICER | NA | |
| DALRYMPLE, NATHALIE, ANN | I | CHIEF FINANCIAL OFFICER | NA | |
| DALRYMPLE, NATHALIE, ANN | I | CHIEF FINANCIAL OFFICER | NA | |
| DEGEN, BENNETT, CRAIG | I | VICE PRESIDENT AND DIRECTOR OF RISK MANAGEMENT | NA | Control |
| GORIN, NATHAN, CHARLES | I | CHIEF FINANCIAL OFFICER | NA | Control |
| GORIN, NATHAN, CHARLES | I | CHIEF FINANCIAL OFFICER | NA | Control |
| GORIN, NATHAN, CHARLES | I | CHIEF FINANCIAL OFFICER | NA | Control |
| GORIN, NATHAN, CHARLES | I | CFO | NA | Control |
| GORIN, NATHAN, CHARLES | I | CFO | NA | Control |
| JING, XIAO-HONG | I | SENIOR VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| JING, XIAO-HONG | I | SENIOR VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| JING, XIAO-HONG | I | SENIOR VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| JING, XIAO-HONG | I | SENIOR VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| JING, XIAO-HONG | I | SENIOR VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| JING, XIAO-HONG | I | SENIOR VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| JING, XIAO-HONG | I | SENIOR VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| JING, XIAO-HONG | I | SENIOR VICE PRESIDENT AND GENERAL COUNSEL | NA | Control |
| KONITS, DAVID, MATTHEW | I | CCO & GSP | NA | |
| LIPNICK, BRUCE, HOWARD | I | PRESIDENT, CEO AND DIRECTOR | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | PRESIDENT, CEO AND DIRECTOR | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | PRESIDENT, CEO AND DIRECTOR | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | PRESIDENT, CEO AND DIRECTOR | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | PRESIDENT, CEO AND DIRECTOR | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | PRESIDENT AND CEO | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | PRESIDENT, CEO AND DIRECTOR | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | PRESIDENT, CEO AND DIRECTOR | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | PRESIDENT, CEO AND DIRECTOR | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | PRESIDENT AND CEO | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | CHIEF EXECUTIVE OFFICER & CCO | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| LIPNICK, BRUCE, HOWARD | I | CHIEF EXECUTIVE OFFICER & CCO | NA | Control |
| LONG, DAVID, RICHARD | I | DIRECTOR | NA | Control |
| LONG, DAVID, RICHARD | I | DIRECTOR | NA | Control |
| MINTZ, ARNOLD, LAWRANCE | I | EVP, SECRETARY AND DIRECTOR | NA | Control |
| MINTZ, ARNOLD, LAWRANCE | I | EVP, SECRETARY AND DIRECTOR | NA | Control |
| MINTZ, ARNOLD, LAWRANCE | I | EVP, SECRETARY AND DIRECTOR | NA | Control |
| MINTZ, ARNOLD, LAWRANCE | I | EVP, SECRETARY AND DIRECTOR | NA | Control |
| MINTZ, ARNOLD, LAWRANCE | I | EVP AND SECRETARY | NA | Control |
| MINTZ, ARNOLD, LAWRANCE | I | EVP, SECRETARY AND DIRECTOR | NA | Control |
| MINTZ, ARNOLD, LAWRANCE | I | EVP, SECRETARY AND DIRECTOR | NA | Control |
| MINTZ, ARNOLD, LAWRANCE | I | EVP AND SECRETARY | NA | Control |
| MINTZ, ARNOLD, LAWRANCE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MINTZ, ARNOLD, LAWRENCE | I | PRESIDENT, SECRETARY AND CHIEF COMPLIANCE OFFICER | NA | Control |
| MINTZ, ARNOLD, LAWRENCE | I | PRESIDENT, SECRETARY AND DIRECTOR | NA | Control |
| MINTZ, ARNOLD, LAWRENCE | I | PRESIDENT, SECRETARY AND CHIEF COMPLIANCE OFFICER | NA | Control |
| MINTZ, ARNOLD, LAWRENCE | I | EVP, SECRETARY AND DIRECTOR | NA | Control |
| MINTZ, ARNOLD, LAWRENCE | I | PRESIDENT, SECRETARY AND CHIEF COMPLIANCE OFFICER | NA | Control |
| MINTZ, ARNOLD, LAWRENCE | I | PRESIDENT, SECRETARY AND CHIEF COMPLIANCE OFFICER | NA | Control |
| MINTZ, ARNOLD, LAWRENCE | I | PRESIDENT, SECRETARY AND CHIEF COMPLIANCE OFFICER | NA | Control |
| MINTZ, ARNOLD, LAWRENCE | I | PRESIDENT, SECRETARY AND CHIEF COMPLIANCE OFFICER | NA | Control |
| MINTZ, ARNOLD, LAWRENCE | I | PRESIDENT, SECRETARY AND CHIEF COMPLIANCE OFFICER | NA | Control |
| MINTZ, ARNOLD, LAWRENCE | I | PRESIDENT, SECRETARY AND CHIEF COMPLIANCE OFFICER | NA | Control |
| MINTZ, ARNOLD, LAWRENCE | I | PRESIDENT, SECRETARY AND CHIEF COMPLIANCE OFFICER | NA | Control |
| MINTZ, ARNOLD, LAWRENCE | I | PRESIDENT, SECRETARY AND CHIEF COMPLIANCE OFFICER | NA | Control |
| MINTZ, ARNOLD, LAWRENCE | I | PRESIDENT, SECRETARY AND CHIEF COMPLIANCE OFFICER | NA | Control |
| MOSES, JEFFREY, MARK | I | SVP AND ASS'T SECRETARY | NA | Control |
| MOSES, JEFFREY, MARK | I | SVP AND DIR. OF INVESTMENT RESEARCH | NA | Control |
| POLANSKY, STUART, RICHARD | I | CHIEF FINANCIAL OFFICER | NA | |
| POLANSKY, STUART, RICHARD | I | CHIEF FINANCIAL OFFICER | NA | |
| RICK, SAMANTHA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RICK, SAMANTHA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RICK, SAMANTHA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RICK, SAMANTHA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STRAUCH, MARK, PAUL | I | DIRECTOR | NA | Control |
| STRAUCH, MARK, PAUL | I | DIRECTOR | NA | Control |
| WU, XIN | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WU, XIN | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WU, XIN | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WU, XIN | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| WU, XIN | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
| ASSET ALLIANCE HOLDING CORP. | DE | SHAREHOLDER IN AAA INC. | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ARTHUR J. GALLAGHER & CO. INC. | DE | AJG FINANCIAL SERVICES, INC. ("FSI") | E | Control |
| ARTHUR J. GALLAGHER & CO. INC. | DE | AJG FINANCIAL SERVICES, INC. ("FSI") | E | Control |
| ARTHUR J. GALLAGHER & CO. INC. | DE | AJG FINANCIAL SERVICES, INC. ("FSI") | E | Control |
| ARTHUR J. GALLAGHER & CO. INC. | DE | AJG FINANCIAL SERVICES, INC. ("FSI") | E | Control |
| ARTHUR J. GALLAGHER & CO. INC. | DE | AJG FINANCIAL SERVICES, INC. ("FSI") | E | Control |
| ARTHUR J. GALLAGHER & CO. INC. | DE | AJG FINANCIAL SERVICES, INC. ("FSI") | E | Control |
| ARTHUR J. GALLAGHER & CO. INC. | DE | AJG FINANCIAL SERVICES, INC. ("FSI") | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| ASSET ALLIANCE CORPORATION | DE | ASSET ALLIANCE HOLDING CORP. ("AAHC) | E | Control |
| AJG FINANCIAL SERVICES, INC. | DE | ASSET ALLIANCE CORPORATION ("AAC") | C | Control |
| AJG FINANCIAL SERVICES, INC. | DE | ASSET ALLIANCE CORPORATION ("AAC") | C | Control |
| AJG FINANCIAL SERVICES, INC. | DE | ASSET ALLIANCE CORPORATION ("AAC") | C | Control |
| AJG FINANCIAL SERVICES, INC. | DE | ASSET ALLIANCE CORPORATION ("AAC") | C | Control |
| AJG FINANCIAL SERVICES, INC. | DE | ASSET ALLIANCE CORPORATION ("AAC") | C | Control |
| AJG FINANCIAL SERVICES, INC. | DE | ASSET ALLIANCE CORPORATION ("AAC") | C | Control |
| AJG FINANCIAL SERVICES, INC. | DE | ASSET ALLIANCE CORPORATION ("AAC") | C | Control |
Registrations
Federal
IA
Dec 4, 2015 REGISTERED
Notice Filings (7)
CA CT FL MI NJ NY PA
Address
800 THIRD AVENUE, 22ND FL.NEW YORK, NY 10022
United States
Phone: 212-207-8786