ASTOR ASSET MANAGEMENT LLC
CRD #116408 SEC #801-61526 CHICAGO, IL 312-228-5900
SEC Registered
Total AUM
$1.1B
Discretionary
$1.1B
Employees
11
Clients
--
Accounts
5,677
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Illinois
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 7, 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 |
|---|---|---|---|---|
| KOVACH, MARY, MICHELLE | I | CHIEF COMPLIANCE OFFICER & CFO | NA | |
| KOVACH, MARY, MICHELLE | I | CHIEF COMPLIANCE OFFICER & CFO | NA | |
| MARTIN, SCOTT, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MOHLMAN, MATTHEW, FRANK | I | CHIEF COMPLIANCE OFFICER | NA | |
| MOHLMAN, MATTHEW, FRANK | I | CHIEF COMPLIANCE OFFICER | NA | |
| MOHLMAN, MATTHEW, FRANK | I | CHIEF COMPLIANCE OFFICER | NA | |
| MOHLMAN, MATTHEW, FRANK | I | CHIEF COMPLIANCE OFFICER | NA | |
| MOHLMAN, MATTHEW, FRANK | I | CHIEF COMPLIANCE OFFICER | NA | |
| MOHLMAN, MATTHEW, FRANK | I | CHIEF COMPLIANCE OFFICER | NA | |
| MOHLMAN, MATTHEW, FRANK | I | CHIEF COMPLIANCE OFFICER | NA | |
| MOHLMAN, MATTHEW, FRANK | I | CHIEF COMPLIANCE OFFICER | NA | |
| STEIN, ROBERT, NEIL | I | MANAGER | NA | Control |
| STEIN, ROBERT, NEIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STEIN, ROBERT, NEIL | I | MANAGER | NA | Control |
| STEIN, ROBERT, NEIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STEIN, ROBERT, NEIL | I | MANAGER | NA | Control |
| STEIN, ROBERT, NEIL | I | MANAGER | NA | Control |
| STEIN, ROBERT, NEIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STEIN, ROBERT, NEIL | I | SR. MANAGING DIRECTOR | NA | Control |
| STEIN, ROBERT, NEIL | I | MANAGER | NA | Control |
| STEIN, ROBERT, NEIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STEIN, ROBERT, NEIL | I | SR. MANAGING DIRECTOR | NA | Control |
| STEIN, ROBERT, NEIL | I | SR. MANAGING DIRECTOR | NA | Control |
| STEIN, ROBERT, NEIL | I | SR. MANAGING DIRECTOR | NA | Control |
| STEIN, ROBERT, NEIL | I | MANAGER | NA | Control |
| STEIN, ROBERT, NEIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STEIN, ROBERT, NEIL | I | MANAGER | NA | Control |
| STEIN, ROBERT, NEIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STEIN, ROBERT, NEIL | I | MANAGER | NA | Control |
| STEIN, ROBERT, NEIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STEIN, ROBERT, NEIL | I | MANAGER | NA | Control |
| STEIN, ROBERT, NEIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STEIN, ROBERT, NEIL | I | MANAGER | NA | Control |
| STEIN, ROBERT, NEIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STEIN, ROBERT, NEIL | I | MANAGER | NA | Control |
| STEIN, ROBERT, NEIL | I | MANAGER | NA | Control |
| STEIN, ROBERT, NEIL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STEIN, ROBERT, NEIL | I | SR. MANAGING DIRECTOR | NA | Control |
| STEIN, ROBERT, NEIL | I | SR. MANAGING DIRECTOR | NA | Control |
| STEIN, ROBERT, NEIL | I | SR. MANAGING DIRECTOR | NA | Control |
| STEIN, ROBERT, NEIL | I | SR. MANAGING DIRECTOR | NA | Control |
| STEIN, ROBERT, NEIL | I | SR. MANAGING DIRECTOR | NA | Control |
| STEIN, ROBERT, NEIL | I | SR. MANAGING DIRECTOR | NA | Control |
| STEIN, ROBERT, NEIL | I | SR. MANAGING DIRECTOR | NA | Control |
| STEIN, ROBERT, NEIL | I | SR. MANAGING DIRECTOR | NA | Control |
| STEIN, ROBERT, NEIL | I | SR. MANAGING DIRECTOR | NA | Control |
| TREVOR, ALTHEA, KEEGAN | I | CHIEF COMPLIANCE OFFICER | NA | |
| TREVOR, ALTHEA, KEEGAN | I | CHIEF COMPLIANCE OFFICER | NA | |
| TREVOR, ALTHEA, KEEGAN | I | CHIEF COMPLIANCE OFFICER | NA | |
| ASTOR FINANCIAL, INC. | DE | OWNER | E | Control |
| ASTOR FINANCIAL, INC. | DE | OWNER | E | Control |
| ASTOR FINANCIAL, INC. | DE | OWNER | E | Control |
| ASTOR FINANCIAL, INC. | DE | OWNER | E | Control |
| ASTOR FINANCIAL, INC. | DE | OWNER | E | Control |
| ASTOR FINANCIAL, INC. | DE | OWNER | E | Control |
| ASTOR FINANCIAL, LLC | DE | OWNER | E | Control |
| ASTOR FINANCIAL, LLC | DE | OWNER | E | Control |
| ASTOR FINANCIAL, LLC | DE | OWNER | E | Control |
| ASTOR FINANCIAL, LLC | DE | OWNER | E | Control |
| ASTOR FINANCIAL, LLC | DE | OWNER | E | Control |
| ASTOR FINANCIAL, LLC | DE | OWNER | E | Control |
| KNIGHT CAPITAL HOLDINGS LLC | DE | OWNER | E | Control |
| KNIGHT CAPITAL HOLDINGS LLC | DE | OWNER | E | Control |
| KNIGHT CAPITAL HOLDINGS LLC | DE | OWNER | E | Control |
| KNIGHT CAPITAL HOLDINGS LLC | DE | OWNER | E | Control |
| KNIGHT CAPITAL HOLDINGS LLC | DE | OWNER | E | Control |
| KNIGHT CAPITAL HOLDINGS LLC | DE | OWNER | E | Control |
| KNIGHT CAPITAL HOLDINGS LLC | DE | OWNER | E | Control |
| KNIGHT CAPITAL HOLDINGS LLC | DE | OWNER | E | Control |
| KNIGHT CAPITAL HOLDINGS LLC | DE | OWNER | E | Control |
| KNIGHT CAPITAL HOLDINGS LLC | DE | OWNER | E | Control |
| KNIGHT CAPITAL HOLDINGS LLC | DE | OWNER | E | Control |
| KNIGHT CAPITAL HOLDINGS LLC | DE | OWNER | E | Control |
| KNIGHT CAPITAL HOLDINGS LLC | DE | OWNER | E | Control |
| SANDERS MORRIS HARRIS GROUP | DE | PARTNER | B | |
| SANDERS MORRIS HARRIS GROUP | DE | PARTNER | B | |
| SANDERS MORRIS HARRIS GROUP | DE | PARTNER | B | |
| SANDERS MORRIS HARRIS GROUP | DE | PARTNER | B | |
| SANDERS MORRIS HARRIS GROUP | DE | PARTNER | B | |
| SANDERS MORRIS HARRIS GROUP | DE | PARTNER | B | |
| SANDERS MORRIS HARRIS GROUP | DE | PARTNER | B | |
| SANDERS MORRIS HARRIS GROUP | DE | PARTNER | B | |
| SANDERS MORRIS HARRIS GROUP | DE | PARTNER | B | |
| SANDERS MORRIS HARRIS GROUP | DE | PARTNER | B | |
| SANDERS MORRIS HARRIS GROUP | DE | PARTNER | B |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| KCG HOLDINGS, INC. | DE | KNIGHT CAPITAL GROUP, INC. | E | Control |
| KNIGHT CAPITAL GROUP, INC. | DE | KNIGHT CAPITAL HOLDINGS LLC | E | Control |
| KNIGHT CAPITAL GROUP, INC. | DE | KNIGHT CAPITAL HOLDINGS LLC | E | Control |
| KNIGHT CAPITAL GROUP, INC. | DE | KNIGHT CAPITAL HOLDINGS LLC | E | Control |
| KNIGHT CAPITAL GROUP, INC. | DE | KNIGHT CAPITAL HOLDINGS LLC | E | Control |
| KNIGHT CAPITAL GROUP, INC. | DE | KNIGHT CAPITAL HOLDINGS LLC | E | Control |
| KNIGHT CAPITAL GROUP, INC. | DE | KNIGHT CAPITAL HOLDINGS LLC | E | Control |
| KNIGHT CAPITAL GROUP, INC. | DE | KNIGHT CAPITAL HOLDINGS LLC | E | Control |
| KNIGHT CAPITAL GROUP, INC. | DE | KNIGHT CAPITAL HOLDINGS LLC | E | Control |
| KNIGHT CAPITAL GROUP, INC. | DE | KNIGHT CAPITAL HOLDINGS LLC | E | Control |
| KNIGHT CAPITAL GROUP, INC. | DE | KNIGHT CAPITAL HOLDINGS LLC | E | Control |
| KNIGHT CAPITAL GROUP, INC. | DE | KNIGHT CAPITAL HOLDINGS LLC | E | Control |
| KNIGHT CAPITAL GROUP, INC. | DE | KNIGHT CAPITAL HOLDINGS LLC | E | Control |
| KNIGHT CAPITAL GROUP, INC. | DE | KNIGHT CAPITAL HOLDINGS LLC | E | Control |
| STEIN, ROBERT, NEIL | I | ASTOR FINANCIAL, INC. | E | Control |
| STEIN, ROBERT, NEIL | I | ASTOR FINANCIAL, INC. | E | Control |
| STEIN, ROBERT, NEIL | I | ASTOR FINANCIAL, INC. | E | Control |
| STEIN, ROBERT, NEIL | I | ASTOR FINANCIAL, INC. | E | Control |
| STEIN, ROBERT, NEIL | I | ASTOR FINANCIAL, INC. | E | Control |
| STEIN, ROBERT, NEIL | I | ASTOR FINANCIAL, INC. | E | Control |
| STEIN, ROBERT, NEIL | I | ASTOR FINANCIAL, INC. | E | Control |
| STEIN, ROBERT, NEIL | I | ASTOR FINANCIAL, INC. | E | Control |
| STEIN, ROBERT, NEIL | I | ASTOR FINANCIAL, INC. | E | Control |
| STEIN, ROBERT, NEIL | I | ASTOR FINANCIAL, INC. | E | Control |
| STEIN, ROBERT, NEIL | I | ASTOR FINANCIAL, INC. | E | Control |
| STEIN, ROBERT, NEIL | I | ASTOR FINANCIAL, INC. | E | Control |
Registrations
Federal
IA
May 7, 2012 REGISTERED
Notice Filings (48)
AK AL AR AZ CA CO CT DC DE FL GA HI IA IL IN KS KY LA MA MD MI MN MO MS NC ND NE NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VT WA WI WV
Address
111 SOUTH WACKER DRIVESUITE 3950
CHICAGO, IL 60606
United States
Phone: 312-228-5900