OTA ADVISORS LLC
CRD #132460 SEC #801-63457 PURCHASE, NY 914-694-4066
SEC Registered
Total AUM
$36.3M
Discretionary
$36.3M
Employees
5
Clients
0
Accounts
3
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Sep 28, 2005
- 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 |
|---|---|---|---|---|
| HANRATTY, JOHN, ARTHUR | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HANRATTY, JOHN, ARTHUR | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HANRATTY, JOHN, ARTHUR | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HANRATTY, JOHN, ARTHUR | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| JAFFE, RICHARD, SCOTT | I | COMPLIANCE OFFICER | NA | Control |
| RUOFF, STEVEN, TODD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RUOFF, STEVEN, TODD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RUOFF, STEVEN, TODD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RUOFF, STEVEN, TODD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RUOFF, STEVEN, TODD | I | CHIEF INVESTMENT OFFICER | NA | Control |
| SANTORI, JAMES, WILLIAM | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SANTORI, JAMES, WILLIAM | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SANTORI, JAMES, WILLIAM | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SANTORI, JAMES, WILLIAM | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SANTORI, JAMES, WILLIAM | I | CHIEF FINANCIAL OFFICER | NA | Control |
| OTA ASSET MANAGEMENT LLC | DE | MANAGING MEMBER | E | Control |
| OTA ASSET MANAGEMENT LLC | DE | MANAGING MEMBER | E | Control |
| OTA ASSET MANAGEMENT LLC | DE | MANAGING MEMBER | E | Control |
| OTA ASSET MANAGEMENT LLC | DE | MANAGING MEMBER | E | Control |
| OTA ASSET MANAGEMENT LLC | DE | MANAGING MEMBER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ABOTA LLC | DE | OTA FINANCIAL GROUP LP | F | |
| ABOTA LLC | DE | OTA FINANCIAL GROUP LP | F | |
| ABOTA LLC | DE | OTA FINANCIAL GROUP LP | F | |
| ABOTA LLC | DE | OTA FINANCIAL GROUP LP | F | |
| ABOTA LLC | DE | OTA FINANCIAL GROUP LP | F | |
| LEVENTHAL, IRA, MARK | I | IML CORPORATION | E | Control |
| LEVENTHAL, IRA, MARK | I | IML CORPORATION | E | Control |
| LEVENTHAL, IRA, MARK | I | IML CORPORATION | E | Control |
| LEVENTHAL, IRA, MARK | I | IML CORPORATION | E | Control |
| LEVENTHAL, IRA, MARK | I | IML CORPORATION | E | Control |
| OTA FINANCIAL GROUP LP | DE | OTA ASSET MANAGEMENT LLC | E | Control |
| OTA FINANCIAL GROUP LP | DE | OTA ASSET MANAGEMENT LLC | E | Control |
| OTA FINANCIAL GROUP LP | DE | OTA ASSET MANAGEMENT LLC | E | Control |
| OTA FINANCIAL GROUP LP | DE | OTA ASSET MANAGEMENT LLC | E | Control |
| OTA FINANCIAL GROUP LP | DE | OTA ASSET MANAGEMENT LLC | E | Control |
| IML CORPORATION | DE | LMI LIMITED PARTNERSHIPS | C | Control |
| IML CORPORATION | DE | LMI LIMITED PARTNERSHIPS | C | Control |
| IML CORPORATION | DE | LMI LIMITED PARTNERSHIPS | C | Control |
| IML CORPORATION | DE | LMI LIMITED PARTNERSHIPS | C | Control |
| IML CORPORATION | DE | LMI LIMITED PARTNERSHIPS | C | Control |
| LEVENTHAL, IRA, MARK | I | LMI LIMITED PARTNERSHIPS | C | Control |
| LEVENTHAL, IRA, MARK | I | LMI LIMITED PARTNERSHIPS | C | Control |
| LEVENTHAL, IRA, MARK | I | LMI LIMITED PARTNERSHIPS | C | Control |
| LEVENTHAL, IRA, MARK | I | LMI LIMITED PARTNERSHIPS | C | Control |
| LEVENTHAL, IRA, MARK | I | LMI LIMITED PARTNERSHIPS | C | Control |
| LMI LIMITED CORPORATION | DE | ABOTA LLC | C | Control |
| LMI LIMITED CORPORATION | DE | ABOTA LLC | C | Control |
| LMI LIMITED CORPORATION | DE | ABOTA LLC | C | Control |
| LMI LIMITED CORPORATION | DE | ABOTA LLC | C | Control |
| LMI LIMITED CORPORATION | DE | ABOTA LLC | C | Control |
Registrations
Federal
IA
Sep 28, 2005 REGISTERED
Notice Filings (1)
NY
Address
1 MANHATTANVILLE ROADPURCHASE, NY 10577
USA
Phone: 914-694-4066