NEVILLE, RODIE & SHAW INC
Adviser information for NEVILLE, RODIE & SHAW INC last updated from Form ADV on January 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 | OCTOBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 13 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 802 | $1.6B |
| Non-Discretionary | 14 | $36.7M |
| Total | 816 | $1.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 123 | $46.6M |
| HNW Individuals | 244 | $1.4B |
| 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 | 9 | $11.4M |
| Charitable organizations | 17 | $96.5M |
| 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 | 10 | $31.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-4148 |
|---|---|
| SEC ERA File Number | 801-4148 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 104969 |
| Legal Entity Identifier | None |
Principal Office
200 MADISON AVENEW YORK
NY
United States
Monday - Friday, 9AM-5PM
Tel: 212-725-1440, Fax: 212-689-8746
Websites
Chief Compliance Officer
FRANK J. ANASTASI
CCO
200 MADISON AVENUE, 20TH FLOOR
NEW YORK
NY
United States
Tel:
(212) 725-1440
Fax:
(212) 689-8746
F********@***********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 |
|---|---|---|---|---|---|
| NEJAME, NEIL, PATRICK | Individual | – | TREASURER, VICE PRESIDENT | 03/2008 | 10-25% |
| SCOTT, SHEILA, NEWBOLD | Individual | – | PRESIDENT | 11/2015 | 25-50% |
| ANASTASI, FRANK, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER / VICE PRESIDENT/ SECRETARY | 06/2004 | 5-10% |
| TRAVER, MARK, ANDREW | Individual | – | VICE PRESIDENT | 01/2007 | 10-25% |
| COE, JEFFREY, NORLING | Individual | – | VICE PRESIDENT | 03/2013 | 10-25% |
| CHOATE, REED, WINFIELD | Individual | – | VICE PRESIDENT | 08/2015 | 5-10% |