ROANOKE ASSET MANAGEMENT CORP
Adviser information for ROANOKE ASSET MANAGEMENT CORP last updated from Form ADV on March 25th, 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 | Florida, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| 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 | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 119 | $317.9M |
| Non-Discretionary | 0 | $0 |
| Total | 119 | $317.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 6 | $2.4M |
| HNW Individuals | 49 | $243.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $5.9M |
| Pension and profit sharing plans | <5 | $4.2M |
| Charitable organizations | 9 | $61.4M |
| 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 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-13857 |
|---|---|
| SEC ERA File Number | 801-13857 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107063 |
| Legal Entity Identifier | None |
Principal Office
HARBORSIDE 5185 HUDSON ST., SUITE 1640
JERSEY CITY
NJ
United States
Monday - Friday, 9AM-5PM
Tel: 201-985-1111, Fax: 201-985-1200
Websites
Chief Compliance Officer
ADELE S WEISMAN
SENIOR VICE PRESIDENT
HARBORSIDE 5
185 HUDSON ST., SUITE 1640
JERSEY CITY
NJ
United States
Tel:
201-985-1111 EXT. 11
Fax:
201-985-1200
A**@***************M
(Full email address available in API data)
Regulatory Contact
SOFIA L BIANCULLI
SENIOR ADMINISTRATOR
HARBORSIDE 5
185 HUDSON ST., SUITE 1640
JERSEY CITY
NJ
United States
Tel:
201-985-1111X13
Fax:
201-985-1200
S**@***************M
(Full email address available in API data)
Industry Affiliates
| ROANOKE ASSET MANAGEMENT PARTNERS, L.P. | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ROANOKE PARTNERS L.P. | Hedge Fund | $5.9M | $0.5M | 3 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WEISMAN, ADELE, SUSAN | Individual | – | SENIOR V.P./TREASURER/CHIEF COMPLIANCE OFFICER | 09/1981 | 50-75% |
| VROOM, EDWIN, GEORGE | Individual | – | PRESIDENT | 03/1978 | 50-75% |