ERNST & YOUNG INVESTMENT ADVISERS LLP
Adviser information for ERNST & YOUNG INVESTMENT ADVISERS LLP last updated from Form ADV on September 11th, 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 | Limited Liability Partnership |
|---|---|
| Fiscal Year End | JUNE |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 190 |
|---|---|
| Investment Advisory/Research | 190 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 190 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 37 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 37 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPublication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | Hourly chargesFixed fees |
| Other Business Activities | Accountant or accounting firm |
Identifiers
| SEC RIA File Number | 801-48596 |
|---|---|
| SEC ERA File Number | 801-48596 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110921 |
| Legal Entity Identifier | None |
Principal Office
200 PLAZA DRIVEFIRST FLOOR
SECAUCUS
NJ
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 800-273-0588, Fax: 201-872-4200
Chief Compliance Officer
RAYMOND A. ECHEVARRIA
COMPLIANCE OFFICER
200 PLAZA DRIVE
FIRST FLOOR
SECAUCUS
NJ
United States
Tel:
800-273-0588
Fax:
201-872-4200
R*****************@*****M
(Full email address available in API data)
Regulatory Contact
MATTHEW MITOLA
ASSISTANT CHIEF COMPLIANCE OFFICER
200 PLAZA DRIVE
FIRST FLOOR
SECAUCUS
NJ
United States
Tel:
201-872-3536
M*************@*****M
(Full email address available in API data)
Industry Affiliates
| ERNST & YOUNG CAPITAL ADVISORS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered security-based swap dealerAccountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ERNST & YOUNG U.S. LLP | Domestic Entity | – | GENERAL PARTNER | 02/1995 | > 75% |
| ERNST & YOUNG LLP | Domestic Entity | – | GENERAL PARTNER | 02/1995 | < 5% |
| ECHEVARRIA, RAYMOND, ARTHUR | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2022 | < 5% |