U.S. NEWS FINANCIAL CONNECT
U.S. NEWS FINANCIAL CONNECT, INC. Legal Name
Adviser information for U.S. NEWS FINANCIAL CONNECT last updated from Form ADV on March 27th, 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 | 7 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | REFERRAL SERVICE FOR ADVISERS |
|---|---|
| Compensation | REFERRAL FEES FROM OTHER ADVISERS |
Identifiers
| SEC RIA File Number | 801-121002 |
|---|---|
| SEC ERA File Number | 801-121002 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 313479 |
| Legal Entity Identifier | None |
Principal Office
129 WEST 29TH STREET, 11TH FLOORNEW YORK
NY
United States
Monday - Friday, 9-5
Tel: 212-716-6800, Fax: None
Websites
Chief Compliance Officer
PETER DWOSKIN
SENIOR VICE PRESIDENT & SECRETARY & GENERAL COUNSEL
120 FIFTH AVENUE
7TH FLOOR
NEW YORK
NY
United States
Tel:
2122106390
P*******@*********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| U.S. NEWS & WORLD REPORT, L.P. | Domestic Entity | – | ACTIVE | 02/2021 | > 75% |
| Dwoskin, Peter | Individual | – | DIRECTOR & CHIEF COMPLIANCE OFFICER | 02/2021 | < 5% |
| Maheshwari, Neil | Individual | – | DIRECTOR, CHIEF OPERATING OFFICER & CHIEF FINANCIAL OFFICER | 02/2021 | < 5% |
| Holiber, Williamn, David | Individual | – | DIRECTOR, PRESIDENT & CHIEF EXECUTIVE OFFICER | 02/2021 | < 5% |
| Zuckerman, Mortimer, Benjamin | Individual | U.S. NEWS & WORLD REPORT, L.P. | LIMITED PARTNER | 02/2021 | > 75% |
| U.S. NEWS & WORLD REPORT, INC. | Domestic Entity | U.S. NEWS & WORLD REPORT, L.P. | GENERAL PARTNER | 02/2021 | |
| Zuckerman, Mortimer, Benjamin | Individual | U.S. NEWS & WORLD REPORT, INC. | SHAREHOLDER | 02/2021 | > 75% |