ICE DATA PRICING & REFERENCE DATA, LLC
Adviser information for ICE DATA PRICING & REFERENCE DATA, LLC last updated from Form ADV on March 28th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 253 |
|---|---|
| Investment Advisory/Research | 229 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 373 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 2 | $0 |
| Charitable organizations | 8 | $0 |
| State or municipal gov entities | 85 | $0 |
| Other investment advisers | 1,399 | $0 |
| Insurance companies | 124 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 342 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2333 |
| No. of Non-U.S. Clients | 5 |
Services
| Advisory Services | Security ratings or pricing servicesSEE PART 2A, ITEM 4 |
|---|---|
| Compensation | Fixed feesSEE PART 2A, ITEMS 5 AND 14. |
Identifiers
| SEC RIA File Number | 801-55222 |
|---|---|
| SEC ERA File Number | 801-55222 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110037 |
| Legal Entity Identifier | 5493000NQ9LYLDBCTL34 |
Principal Office
100 CHURCH STREET11TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 8:30 A.M. TO 5:30 P.M.
Tel: 212-497-3000, Fax: None
Chief Compliance Officer
MICHAEL GERARD MCMASTER
100 CHURCH STREET
11TH FLOOR
NEW YORK
NY
United States
Tel:
212-497-3270
M***************@******M
(Full email address available in API data)
Regulatory Contact
JOSEPH HRUBY
COMPLIANCE MANAGER
100 CHURCH STREET
NEW YORK
NY
United States
Tel:
212-497-3044
J********@******M
(Full email address available in API data)
Industry Affiliates
| ARCHIPELAGO SECURITIES L.L.C. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| ARCHIPELAGO TRADING SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| ICE BONDS SECURITIES CORPORATION | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| ICE DATA INDIA | Other investment adviser, including financial planners |
| ICE DATA SERVICES AUSTRALIA PTY LTD. | Other investment adviser, including financial planners |
| ICE DATA SERVICES EUROPE LIMITED | Other investment adviser, including financial planners |
| ICE DATA SERVICES FRANCE SAS | Other investment adviser, including financial planners |
| ICE DATA SERVICES SINGAPORE PTE. LTD. | Other investment adviser, including financial planners |
| ICE SECURITIES EXECUTION & CLEARING, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| INTERCONTINENTAL EXCHANGE GERMANY GMBH | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ICE DATA SERVICES, INC. | Domestic Entity | – | SOLE MEMBER OF APPLICANT | 06/2012 | > 75% |
| IGLOO INTERMEDIATE CORPORATION | Domestic Entity | ICE DATA SERVICES, INC. | SHAREHOLDER | 07/2010 | > 75% |
| INTERACTIVE DATA HOLDINGS CORPORATION | Domestic Entity | IGLOO INTERMEDIATE CORPORATION | SHAREHOLDER | 07/2010 | > 75% |
| INTERCONTINENTAL EXCHANGE, INC. | Domestic Entity | INTERACTIVE DATA HOLDINGS CORPORATION | SHAREHOLDER | 12/2015 | > 75% |
| O'ROURKE, ANDREA, LORIN | Individual | – | SECRETARY & VICE PRESIDENT LEGAL | 10/2016 | < 5% |
| KRUPA, CHRISTOPHER, PAUL | Individual | – | CO-PRESIDENT | 01/2022 | < 5% |
| WOLBERG, HILLARY, JACOBS | Individual | – | CO-PRESIDENT | 01/2022 | < 5% |
| MCMASTER, MICHAEL, GERARD | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2022 | < 5% |
| BELL, BRIAN, LANE | Individual | – | TREASURER | 07/2016 | < 5% |
| HECKERT, MARK, JONATHAN | Individual | – | CHIEF OPERATING OFFICER, DATA SERVICES | 01/2024 | < 5% |