RIA Intelligence

KEEFE MANAGERS, LLC

CRD #121160 SEC #801-61264 NEW YORK, NY 212-754-2000
SEC Registered
Total AUM
$266M
Discretionary
$266M
Employees
10
Clients
--
Accounts
6

Firm Details

Organization Type
Limited Liability Company
State of Formation
--
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Jun 16, 2005
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
ASLIN, MALCOLM, MOOREIMANAGERNA Control
GROSS, WILLIAM, DUDLEYIMANAGERNA Control
GROSS, WILLIAM, DUDLEYIMANAGERNA Control
RAFFEL, KATHLEEN, K.ICLASS B MEMBERNA
RAFFEL, KATHLEEN, K.ICLASS B MEMBERNA
BARKOCY, FRANK, JOHNICLASS A MEMBERB
DRUCKER, JEFFREY, MICHAELICLASS A MEMBER AND MANAGERB Control
DRUCKER, JEFFREY, MICHAELICLASS A MEMBER AND MANAGERB Control
DRUCKER, JEFFREY, MICHAELICLASS A MEMBER AND MANAGERB Control
ESTATE OF HARRY V. KEEFE, JR.DECLASS B MEMBERB
GOLD INVESTMENT ADVISORS, INC.DECLASS A MEMBERB Control
JONOVICH, THOMAS, GEORGEICLASS A MEMBER, CHIEF COMPLIANCE OFFICERB Control
KEARNS, WILLIAM, MICHAELICLASS A MEMBER, MANAGER AND CHAIRMANB Control
KEARNS, WILLIAM, MICHAELICLASS A MEMBER, MANAGER AND CHAIRMANB Control
KEARNS, WILLIAM, MICHAELICLASS A MEMBER, MANAGER AND CHAIRMANB Control
LYONS, JOHN, JOSEPHICLASS A MEMBER, MANAGER AND PRESIDENTB Control
LYONS, JOHN, JOSEPHICLASS A MEMBER, MANAGER AND PRESIDENTB Control
LYONS, JOHN, JOSEPHICLASS A MEMBER, MANAGER AND PRESIDENTB Control
SAI HOLDINGS, INC.DECLASS A MEMBERB Control
SAMCO HOLDINGS, INC.DECLASS A MEMBERB Control
BARKOCY, FRANK, JOHNICLASS A MEMBERA
BARKOCY, FRANK, JOHNICLASS A MEMBERA
JONOVICH, THOMAS, GEORGEICLASS A MEMBERA
JONOVICH, THOMAS, GEORGEICLASS A MEMBER, CHEIF COMPLIANCE OFFICERA
KEEFE, HARRY, VICTORICLASS B MEMBERA
KEEFE, HARRY, VICTORICLASS B MEMBERA
RUDKIN, THOMAS, GILBERTICLASS A MEMBER AND MANAGERA Control
RUDKIN, THOMAS, GILBERTICLASS A MEMBER AND MANAGERA Control

Indirect Owners (Schedule B)

NameTypeEntityOwnershipControl
RAFFEL, KATHLEEN, K.IESTATE OF HARRY V. KEEFE, JR.F Control
GOLD BANC CORP.DEGOLD FINANCIAL SERVICES, INC.E Control
GOLD FINANCIAL SERVICES, INC.DEGOLD INVESTMENT ADVISORS, INC.E Control
PENSON WORLDWIDE INCDESAI HOLDINGS, INC.E Control

Registrations

Federal

IA
Jun 16, 2005 REGISTERED

Address

375 PARK AVENUE
23RD FLOOR
NEW YORK, NY 10152-0139
USA
Phone: 212-754-2000