CARRET AND COMPANY, LLC.
CRD #113626 SEC #801-57821 NEW YORK, NY 212-593-3800
SEC Registered
Total AUM
$2B
Discretionary
$1.8B
Employees
51
Clients
--
Accounts
2,184
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 30, 2002
- 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 |
|---|---|---|---|---|
| CARRET HOLDINGS, INC. (FORMERLY MATRIX GLOBAL INVESTMENTS, INC. ("MATRIX") | DE | MEMBER OF APPLICANT | NA | Control |
| CARRET HOLDINGS, INC. (FORMERLY MATRIX GLOBAL INVESTMENTS, INC. ("MATRIX") | DE | MEMBER OF APPLICANT | NA | Control |
| CARRET HOLDINGS, INC. (FORMERLY MATRIX GLOBAL INVESTMENTS, INC. ("MATRIX") | DE | MEMBER OF APPLICANT | NA | Control |
| CARRET HOLDINGS, INC. (FORMERLY MATRIX GLOBAL INVESTMENTS, INC. ("MATRIX") | DE | MEMBER OF APPLICANT | NA | Control |
| CARRET HOLDINGS, INC. (FORMERLY MATRIX GLOBAL INVESTMENTS, INC. ("MATRIX") | DE | MEMBER OF APPLICANT | NA | Control |
| CARRET HOLDINGS, INC. (FORMERLY MATRIX GLOBAL INVESTMENTS, INC. ("MATRIX") | DE | MEMBER OF APPLICANT | NA | Control |
| CARRET HOLDINGS, INC. (FORMERLY MATRIX GLOBAL INVESTMENTS, INC. ("MATRIX") | DE | MEMBER OF APPLICANT | NA | Control |
| CARRET HOLDINGS, INC. (FORMERLY MATRIX GLOBAL INVESTMENTS, INC. ("MATRIX") | DE | MEMBER OF APPLICANT | NA | Control |
| CARRET HOLDINGS, INC. (FORMERLY MATRIX GLOBAL INVESTMENTS, INC. ("MATRIX") | DE | MEMBER OF APPLICANT | NA | Control |
| CARRET HOLDINGS, INC. (FORMERLY MATRIX GLOBAL INVESTMENTS, INC. ("MATRIX") | DE | MEMBER OF APPLICANT | NA | Control |
| CARRET HOLDINGS, INC. (FORMERLY MATRIX GLOBAL INVESTMENTS, INC. ("MATRIX") | DE | MEMBER OF APPLICANT | NA | Control |
| CHASE, HOWARD, E. | I | DIRECTOR, MANAGING MEMBER DESIGNATE | NA | Control |
| CHASE, HOWARD, E. | I | DIRECTOR, MANAGING MEMBER DESIGNATE | NA | Control |
| CHASE, HOWARD, E. | I | DIRECTOR, MANAGING MEMBER DESIGNATE, (CEO) | NA | Control |
| KERR, ELMORE, COE | I | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER | NA | Control |
| KERR, ELMORE, COE | I | DIRECTOR, PRESIDENT,(NON-EXECUTIVE) | NA | Control |
| KERR, ELMORE, COE | I | DIRECTOR, PRESIDENT,(NON-EXECUTIVE) | NA | Control |
| KERR, ELMORE, COE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| KERR, ELMORE, COE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| KERR, ELMORE, COE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| KERR, ELMORE, COE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| KERR, ELMORE, COE | I | E.V.P/PRESIDENT OF PERSONAL & CHARITABLE INVESTING | NA | Control |
| KERR, ELMORE, COE | I | E.V.P/PRESIDENT OF PERSONAL & CHARITABLE INVESTING | NA | Control |
| KERR, ELMORE, COE | I | E.V.P/PRESIDENT OF PERSONAL & CHARITABLE INVESTING | NA | Control |
| KERR, ELMORE, COE | I | E.V.P/PRESIDENT OF PERSONAL & CHARITABLE INVESTING | NA | Control |
| KOLODNER, MICHAEL, LEE | I | DIRECTOR, TREASURER, SECRETARY | NA | Control |
| RIKOON, ROBERT | I | DIRECTOR | NA | Control |
| SEARING, ROBERT, FRANCIS | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SEARING, ROBERT, FRANCIS | I | CHIEF OPER. OFFICER, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | NA | Control |
| SEARING, ROBERT, FRANCIS | I | CHIEF OPER. OFFICER, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | NA | Control |
| SEARING, ROBERT, FRANCIS | I | E.V.P./CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER | NA | Control |
| SEARING, ROBERT, FRANCIS | I | E.V.P./CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER | NA | Control |
| SEARING, ROBERT, FRANCIS | I | E.V.P./CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER | NA | Control |
| SEARING, ROBERT, FRANCIS | I | E.V.P./CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER | NA | Control |
| VEGA, MARCO, ANTONIO | I | COMPLIANCE OFFICER | NA | Control |
| VEGA, MARCO, ANTONIO | I | COMPLIANCE OFFICER | NA | Control |
| VEGA, MARCO, ANTONIO | I | COMPLIANCE OFFICER | NA | Control |
| VEGA, MARCO, ANTONIO | I | COMPLIANCE OFFICER | NA | Control |
| WAGES, ROBERT | I | DIRECTOR, MANAGING MEMBER DESIGNATE, (CEO) | NA | Control |
| WAGES, ROBERT | I | DIRECTOR, MANAGING MEMBER DESIGNATE, (CEO) | NA | Control |
| WEBBER, WILLIAM, HOBAN | I | DIRECTOR | NA | |
| WEBBER, WILLIAM, HOBAN | I | DIRECTOR | NA | |
| WEBBER, WILLIAM, HOBAN | I | DIRECTOR | NA | |
| WINTERSET MANAGEMENT CORP. | DE | MEMBER | NA | |
| WINTERSET MANAGEMENT CORP. | DE | MEMBER | NA | |
| WINTERSET MANAGEMENT CORP. | DE | MEMBER | NA | |
| WINTERSET MANAGEMENT CORP. | DE | MEMBER | NA | |
| WOZNY, JOSEPH, EDWARD | I | DIRECTOR,CHAIRMAN | NA | Control |
| WOZNY, JOSEPH, EDWARD | I | E.V.P./CHAIRMAN OF THE TAFT HARLEY GROUP | NA | Control |
| WOZNY, JOSEPH, EDWARD | I | E.V.P./CHAIRMAN OF THE TAFT HARLEY GROUP | NA | Control |
| WOZNY, JOSEPH, EDWARD | I | E.V.P./CHAIRMAN OF THE TAFT HARLEY GROUP | NA | Control |
| WOZNY, JOSEPH, EDWARD | I | E.V.P./CHAIRMAN OF THE TAFT HARLEY GROUP | NA | Control |
| WOZNY, JOSEPH, EDWARD | I | E.V.P./CHAIRMAN OF THE TAFT HARLEY GROUP | NA | Control |
| WOZNY, JOSEPH, EDWARD | I | E.V.P./CHAIRMAN OF THE TAFT HARLEY GROUP | NA | Control |
| WOZNY, JOSEPH, EDWARD | I | E.V.P./CHAIRMAN OF THE TAFT HARLEY GROUP | NA | Control |
| WOZNY, JOSEPH, EDWARD | I | E.V.P./CHAIRMAN OF THE TAFT HARLEY GROUP | NA | Control |
| ZIRKLE, WILLIAM, DENMAN | I | CHAIRMAN/CHIEF EXECUTIVE OFFICER | NA | Control |
| ZIRKLE, WILLIAM, DENMAN | I | CHAIRMAN/CHIEF EXECUTIVE OFFICER | NA | Control |
| ZIRKLE, WILLIAM, DENMAN | I | CHAIRMAN/CHIEF EXECUTIVE OFFICER | NA | Control |
| ZIRKLE, WILLIAM, DENMAN | I | CHAIRMAN/CHIEF EXECUTIVE OFFICER | NA | Control |
| ZIRKLE, WILLIAM, DENMAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| ZIRKLE, WILLIAM, DENMAN | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| CARRET AND COMPANY, INC. | DE | MEMBER | E | Control |
| CARRET AND COMPANY, INC. | DE | MEMBER | E | Control |
| CARRET AND COMPANY, INC. | DE | MEMBER | E | Control |
| CARRET AND COMPANY, INC. | DE | MEMBER | E | Control |
| CARRET AND COMPANY, INC. | DE | MEMBER | E | Control |
| CARRET AND COMPANY, INC. | DE | MEMBER | E | Control |
| CARRET AND COMPANY, INC. | DE | MEMBER | E | Control |
| CARRET AND COMPANY, INC. | DE | MEMBER | E | Control |
| CARRET AND COMPANY, INC. | DE | MEMBER | E | Control |
| CARRET AND COMPANY, INC. | DE | MEMBER | E | Control |
| CARRET AND COMPANY, INC. | DE | MEMBER | E | Control |
| REISNER, WAYNE, S | I | MEMBER | A | |
| REISNER, WAYNE, S | I | MEMBER | A | |
| REISNER, WAYNE, S | I | MEMBER | A | |
| REISNER, WAYNE, S | I | MEMBER | A | |
| RIKOON INVESTMENT ADVISORS, INC. | DE | MEMBER | A | |
| RIKOON INVESTMENT ADVISORS, INC. | DE | MEMBER | A | |
| RIKOON INVESTMENT ADVISORS, INC. | DE | MEMBER | A | |
| RIKOON INVESTMENT ADVISORS, INC. | DE | MEMBER | A | |
| RIKOON INVESTMENT ADVISORS, INC. | DE | MEMBER | A | |
| RIKOON INVESTMENT ADVISORS, INC. | DE | MEMBER | A | |
| RIKOON INVESTMENT ADVISORS, INC. | DE | MEMBER | A | |
| RIKOON INVESTMENT ADVISORS, INC. | DE | MEMBER | A | |
| RIKOON INVESTMENT ADVISORS, INC. | DE | MEMBER | A | |
| RIKOON INVESTMENT ADVISORS, INC. | DE | MEMBER | A | |
| RIKOON INVESTMENT ADVISORS, INC. | DE | MEMBER | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CARRET HOLDINGS, INC.(FORMERLY MATRIX GLOBAL INVESTMENTS, INC.("MATRIX") | DE | CARRET AND COMPANY, INC. | E | Control |
| CARRET HOLDINGS, INC.(FORMERLY MATRIX GLOBAL INVESTMENTS, INC.("MATRIX") | DE | CARRET AND COMPANY, INC. | E | Control |
| CARRET HOLDINGS, INC.(FORMERLY MATRIX GLOBAL INVESTMENTS, INC.("MATRIX") | DE | CARRET AND COMPANY, INC. | E | Control |
| CARRET HOLDINGS, INC.(FORMERLY MATRIX GLOBAL INVESTMENTS, INC.("MATRIX") | DE | CARRET AND COMPANY, INC. | E | Control |
| CARRET HOLDINGS, INC.(FORMERLY MATRIX GLOBAL INVESTMENTS, INC.("MATRIX") | DE | CARRET AND COMPANY, INC. | E | Control |
| CARRET HOLDINGS, INC.(FORMERLY MATRIX GLOBAL INVESTMENTS, INC.("MATRIX") | DE | CARRET AND COMPANY, INC. | E | Control |
| CARRET HOLDINGS, INC.(FORMERLY MATRIX GLOBAL INVESTMENTS, INC.("MATRIX") | DE | CARRET AND COMPANY, INC. | E | Control |
| CARRET HOLDINGS, INC.(FORMERLY MATRIX GLOBAL INVESTMENTS, INC.("MATRIX") | DE | CARRET AND COMPANY, INC. | E | Control |
| CARRET HOLDINGS, INC.(FORMERLY MATRIX GLOBAL INVESTMENTS, INC.("MATRIX") | DE | CARRET AND COMPANY, INC. | E | Control |
| CARRET HOLDINGS, INC.(FORMERLY MATRIX GLOBAL INVESTMENTS, INC.("MATRIX") | DE | CARRET AND COMPANY, INC. | E | Control |
| CARRET HOLDINGS, INC.(FORMERLY MATRIX GLOBAL INVESTMENTS, INC.("MATRIX") | DE | CARRET AND COMPANY, INC. | E | Control |
| CASTLE HARLAN PARTNERS,III L.P. (CHPIII) | DE | SHAREHOLDER OF CARRET HOLDINGS | E | Control |
| CASTLE HARLAN PARTNERS,III L.P. (CHPIII) | DE | SHAREHOLDER OF CARRET HOLDINGS | E | Control |
| CASTLE HARLAN PARTNERS,III L.P. (CHPIII) | DE | SHAREHOLDER OF CARRET HOLDINGS | E | Control |
| CASTLE HARLAN PARTNERS,III L.P. (CHPIII) | DE | SHAREHOLDER OF CARRET HOLDINGS | E | Control |
| CASTLE HARLAN PARTNERS,III L.P. (CHPIII) | DE | SHAREHOLDER OF CARRET HOLDINGS | E | Control |
| CASTLE HARLAN PARTNERS,III L.P. (CHPIII) | DE | SHAREHOLDER OF CARRET HOLDINGS | E | Control |
| CASTLE HARLAN PARTNERS,III L.P. (CHPIII) | DE | SHAREHOLDER OF CARRET HOLDINGS | E | Control |
| CASTLE HARLAN PARTNERS,III L.P. (CHPIII) | DE | SHAREHOLDER OF CARRET HOLDINGS | E | Control |
| CASTLE HARLAN PARTNERS,III L.P. (CHPIII) | DE | SHAREHOLDER OF CARRET HOLDINGS | E | Control |
| CASTLE HARLAN PARTNERS,III L.P. (CHPIII) | DE | SHAREHOLDER OF CARRET HOLDINGS | E | Control |
| CASTLE HARLAN PARTNERS,III L.P. (CHPIII) | DE | SHAREHOLDER OF CARRET HOLDINGS | E | Control |
| RIKOON, ROBERT | I | RIKOON INVESTMENTS ADVISORS, INC. | E | Control |
| RIKOON, ROBERT | I | RIKOON INVESTMENTS ADVISORS, INC. | E | Control |
| RIKOON, ROBERT | I | RIKOON INVESTMENTS ADVISORS, INC. | E | Control |
| RIKOON, ROBERT | I | RIKOON INVESTMENTS ADVISORS, INC. | E | Control |
| RIKOON, ROBERT | I | RIKOON INVESTMENTS ADVISORS, INC. | E | Control |
| RIKOON, ROBERT | I | RIKOON INVESTMENTS ADVISORS, INC. | E | Control |
| RIKOON, ROBERT | I | RIKOON INVESTMENTS ADVISORS, INC. | E | Control |
| RIKOON, ROBERT | I | RIKOON INVESTMENTS ADVISORS, INC. | E | Control |
| RIKOON, ROBERT | I | RIKOON INVESTMENTS ADVISORS, INC. | E | Control |
| RIKOON, ROBERT | I | RIKOON INVESTMENTS ADVISORS, INC. | E | Control |
| RIKOON, ROBERT | I | RIKOON INVESTMENTS ADVISORS, INC. | E | Control |
Registrations
Federal
IA
Apr 30, 2002 REGISTERED
Notice Filings (42)
AL AZ CA CO CT DC FL GA HI IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NH NJ NM NV NY OH OK OR PA RI SC TN TX VA VT WA WI WV
Address
40 EAST 52ND ST19TH FLOOR
NEW YORK, NY 10022
USA
Phone: 212-593-3800