WILLIAM O'NEIL + COMPANY
WILLIAM O'NEIL + CO. INCORPORATED Legal Name
Adviser information for WILLIAM O'NEIL + COMPANY last updated from Form ADV on March 21st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 41 |
|---|---|
| Investment Advisory/Research | 21 |
| Registered Broker-Dealer Representatives | 13 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 250 |
| No. of Non-U.S. Clients | 24 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Publication of periodicals or newslettersPROVIDE DATA RESEARCH, COMPRISED OF CHARTS, FORMULAS, AND OTHER DEVICES WITH RESPECT TO SECURITIES. |
|---|---|
| Compensation | Subscription feesFixed fees |
Identifiers
| SEC RIA File Number | 801-120403 |
|---|---|
| SEC ERA File Number | 801-120403 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 152620 |
| Legal Entity Identifier | None |
Principal Office
12655 BEATRICE STREETSUITE 2A
LOS ANGELES
CA
United States
Monday - Friday, 6:00 AM TO 5:00PM
Tel: 310-448-6800, Fax: 310-577-7372
Chief Compliance Officer
ALEXANDER V. MASOTTI
GENERAL COUNSEL
140 EAST 45TH STREET
19TH FLOOR
NEW YORK
NY
United States
Tel:
646-996-6320
A****************@***************M
(Full email address available in API data)
Regulatory Contact
GREGORY S. JANNETTA
CHIEF EXECUTIVE OFFICER
211 CONGRESS STREET
5TH FLOOR
BOSTON
MA
United States
Tel:
310-448-6228
G***************@***************M
(Full email address available in API data)
Industry Affiliates
| O'NEIL GLOBAL ADVISORS, INC. | Other investment adviser, including financial planners |
| WILLIAM O'NEIL INDIA PVT. LTD. | Other investment adviser, including financial planners |
| WILLIAM O'NEIL INVESTMENT MANAGEMENT (SHANGHAI) LTD. | Other investment adviser, including financial planners |
| WILLIAM O'NEIL SECURITIES | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| O'NEIL CAPITAL MANAGEMENT INC. | Domestic Entity | – | PARENT COMPANY | 01/2010 | > 75% |
| DATA ANALYSIS INC. | Domestic Entity | O'NEIL CAPITAL MANAGEMENT INC. | HOLDING COMPANY | 01/2010 | > 75% |
| JANNETTA, GREGORY, SAMUEL | Individual | – | CHIEF EXECUTIVE OFFICER | 01/2022 | < 5% |
| WILLIAM SCOTT ONEIL GSTE TR SHARE UNDER FAY C ONEIL IRR TR 12-08-14 | Domestic Entity | DATA ANALYSIS INC. | SHAREHOLDER | 04/2019 | 50-75% |
| WILLIAM SCOTT ONEIL GSTE TR SHARE UNDER WM J ONEIL IRR TR 12-08-14 | Domestic Entity | DATA ANALYSIS INC. | SHAREHOLDER | 04/2019 | 50-75% |
| O'NEIL, WILLIAM, SCOTT | Individual | WILLIAM SCOTT ONEIL GSTE TR SHARE UNDER FAY C ONEIL IRR TR 12-08-14 | TRUSTEE | 12/2014 | |
| O'NEIL, WILLIAM, SCOTT | Individual | WILLIAM SCOTT ONEIL GSTE TR SHARE UNDER WM J ONEIL IRR TR 12-08-14 | TRUSTEE | 12/2014 | |
| MASOTTI, ALEXANDER, VICTOR | Individual | – | GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 11/2019 | < 5% |
| LEE, PAN-YUN (BEN) | Individual | – | CHIEF FINANCIAL OFFICER | 03/2024 | < 5% |