MONTROSE ADVISORS INC
MONTROSE ADVISORS INCORPORATED Legal Name
Adviser information for MONTROSE ADVISORS INC last updated from Form ADV on March 19th, 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 | New York, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 23 | $106.8M |
| Non-Discretionary | 7 | $306.3M |
| Total | 30 | $413.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $1.1M |
| HNW Individuals | 19 | $88.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $26.4M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $980,000 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $296.1M |
| 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 | 10 |
| 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 vehiclesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-45235 |
|---|---|
| SEC ERA File Number | 801-45235 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105918 |
| Legal Entity Identifier | None |
Principal Office
7 EAST 60TH STREET2ND FLOOR
NEW YORK
NY
United States
Monday - Friday, 9AM - 5PM
Tel: 212-888-4747, Fax: 347-635-1935
Websites
Chief Compliance Officer
MCNAUGHTON, LOIS
COMPLIANCE OFFICER
7 EAST 60TH STREET
2ND FLOOR
NEW YORK
NY
United States
Tel:
(212) 888-4747
Fax:
(212) 888-9634
L**********@*******************M
(Full email address available in API data)
Regulatory Contact
ANGUS LUBBOCK
PRESIDENT
7 EAST 60TH STREET
2ND FLOOR
NEW YORK
NY
United States
Tel:
2128884747
Fax:
2128884018
A*******@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| MONTROSE PARNERS, L.P. | Hedge Fund | $25.0M | $0.3M | 55 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LUBBOCK, KENNETH, MILES | Individual | – | EXECUTIVE CHAIRMAN AND SHAREHOLDER AND DIRECTOR AND TREASURER | 09/1992 | 25-50% |
| TRAIN, LISA | Individual | – | SHAREHOLDER AND DIRECTOR | 09/1992 | 5-10% |
| CHOA, NINA, T | Individual | – | SHAREHOLDER | 09/1992 | 5-10% |
| KLEBNIKOV, HELEN, T | Individual | – | SHAREHOLDER | 09/1992 | 5-10% |
| MCNAUGHTON, LOIS | Individual | – | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 03/2002 | < 5% |
| LUBBOCK, JOHN, ANGUS | Individual | – | PRESIDENT, SHAREHOLDER AND DIRECTOR | 12/2012 | 50-75% |