JEFFERIES INVESTMENT ADVISERS LLC
Adviser information for JEFFERIES INVESTMENT ADVISERS LLC last updated from Form ADV on February 29th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | NOVEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 144 |
|---|---|
| Investment Advisory/Research | 109 |
| Registered Broker-Dealer Representatives | 144 |
| Registered State Investment Advisers | 101 |
| Licensed Agents of an Insurance Company | 15 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,754 | $2.7B |
| Non-Discretionary | 290 | $377.5M |
| Total | 2,044 | $3.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,696 | $1.7B |
| 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 | 25 | $20.3M |
| 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 | 323 | $1.4B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 13 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 1.2B |
| Portfolio Manager | 0 |
| Both for Same | 1.9B |
| Portfolio Manager to Program | Sponsor |
|---|---|
| JIA DISCRETIONARY ACCOUNT | JEFFERIES INVESTMENT ADVISERS LLC |
| JIA NONDISCRETIONARY ACCOUNT | JEFFERIES INVESTMENT ADVISERS LLC |
| UNIFIED MANAGED ACCOUNT ("UMA") | JEFFERIES INVESTMENT ADVISERS LLC |
Principal Office
520 MADISON AVENUENEW YORK
NY
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 212-284-2300, Fax: None
Chief Compliance Officer
DAVID NAGY
MANAGING DIRECTOR
520 MADISON AVENUE
NEW YORK
NY
United States
Tel:
212-336-7381
D****@************M
(Full email address available in API data)
Regulatory Contact
FELIX VALDEZ
SENIOR VICE PRESIDENT
1450 BRICKELL AVENUE
SUITE 1710
MIAMI
FL
United States
Tel:
786-747-3758
F******@************M
(Full email address available in API data)
Industry Affiliates
| JEFFERIES FINANCE LLC | Other investment adviser, including financial planners |
| JEFFERIES FINANCIAL SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerRegistered security-based swap dealer |
| JEFFERIES INSURANCE BROKERAGE LLC | Insurance company or agency |
| JEFFERIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerCommodity pool operator or commodity trading advisorFutures commission merchantSponsor or syndicator of limited partnerships |
| JEFFERIES RESEARCH SERVICES LLC | Other investment adviser, including financial planners |
| LEUCADIA ASSET MANAGEMENT LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PEYREIGNE, ROBERT, VINCENT | Individual | – | MANAGING DIRECTOR- CO-PRESIDENT | 03/2023 | < 5% |
| PAGANO, MICHAEL, JOSEPH | Individual | – | MANAGING DIRECTOR- CO-PRESIDENT | 03/2023 | < 5% |
| GOODMAN, LAURIE, R | Individual | – | MANAGING DIRECTOR-HEAD OF INVESTMENT & WEALTH SOLUTIONS | 03/2023 | < 5% |
| NAGY, DAVID, J | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2023 | < 5% |
| COLLYMORE, FRANKLYN, JOHNSON | Individual | – | SENIOR VICE PRESIDENT, HEAD OF WEALTH MANAGEMENT SUPERVISION & RISK | 03/2023 | < 5% |
| JEFFERIES FINANCIAL GROUP INC. | Domestic Entity | – | DIRECT OWNER | 03/2023 | > 75% |
| LEVOVITZ, SONIA, HAN | Individual | – | SECRETARY | 03/2023 | < 5% |