KEPPLER ASSET MANAGEMENT INC.
Adviser information for KEPPLER ASSET MANAGEMENT INC. last updated from Form ADV on March 1st, 2023. 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 | New York, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 6 |
| 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 | 0 | $0 |
| Non-Discretionary | 9 | $462.5M |
| Total | 9 | $462.5M |
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 | 6 | $462.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 100 |
Services
| Advisory Services | Portfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-43072 |
|---|---|
| SEC ERA File Number | 801-43072 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 112234 |
| Legal Entity Identifier | 2549004WU71S4L1GTR26 |
Principal Office
350 WEST 57 STNEW YORK
NY
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 212-245-4304, Fax: 212-262-8150
Websites
Chief Compliance Officer
JOHN REEDER
350 W 57TH ST
NEW YORK
NY
United States
Tel:
212 245 4304
Fax:
212 262 8150
J**********@********M
(Full email address available in API data)
Regulatory Contact
MICHAEL KEPPLER
PRESIDENT
350 WEST 57 STREET
NEW YORK
NY
United States
Tel:
212-245-4304
Fax:
212-262-8150
M**************@********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 |
|---|---|---|---|---|---|
| KEPPLER, MICHAEL, ALFONS | Individual | – | PRESIDENT | 10/1992 | > 75% |
| REEDER, JOHN, HAMILTON | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2005 | < 5% |
| KEPPLER, MARGARET, J | Individual | – | TREASURER | 10/1992 | < 5% |