SEGAL MARCO ADVISORS
SEGAL ADVISORS, INC. Legal Name
Adviser information for SEGAL MARCO ADVISORS last updated from Form ADV on March 29th, 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 | 116 |
|---|---|
| Investment Advisory/Research | 86 |
| 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 | 85 | $11.5B |
| Non-Discretionary | 35 | $20.4B |
| Total | 120 | $31.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $18.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 4 | $1.8B |
| Pension and profit sharing plans | 71 | $26.8B |
| Charitable organizations | 4 | $85.1M |
| State or municipal gov entities | <5 | $442.6M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 37 | $2.8B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 754 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshopsINDEPENDENT FIDUCIARY, PROXY VOTING, PERFORMANCE MEASUREMENT AND INVESTMENT PRODUCT REVIEW |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesSEE SCHEDULE D, PAGE 5 |
Identifiers
| SEC RIA File Number | 801-61280 |
|---|---|
| SEC ERA File Number | 801-61280 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 114687 |
| Legal Entity Identifier | None |
Principal Office
333 WEST 34TH STREETNEW YORK
NY
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 212-251-5900, Fax: 212-208-4564
Chief Compliance Officer
FRANK CAROFANO
SENIOR VICE PRESIDENT
333 W. 34TH STREET
NEW YORK
NY
United States
Tel:
212-251-5981
Fax:
212-208-4564
F********@*************M
(Full email address available in API data)
Regulatory Contact
TERON N. BRIGGS
SENIOR LEGAL ASSOCIATE
333 WEST 34TH ST
NEW YORK
NY
United States
Tel:
212-251-5138
Fax:
646-619-4942
T******@**********M
(Full email address available in API data)
Industry Affiliates
| RCTS MANAGEMENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| ROGERSCASEY CANADA, INC. | Other investment adviser, including financial planners |
| SEGAL SELECT INSURANCE SERVICES, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| EQUITY GROUP TRUST (A TRUST WITHIN THE MARCO CONSULTING GROUP TRUST 1) | GROUP TRUST | $780.7M | $0.0M | 24 |
| FIXED INCOME GROUP TRUST (A FUND WITHIN THE MARCO GROUP TRUST 1) | GROUP TRUST | $670.7M | $0.0M | 35 |
| RCTS EMERGING MARKETS EQUITY PORTFOLIO | 3C7 FUND POOLED INVESTMENT | $33.7M | $5.0M | 9 |
| RCTS EMERGING MARKETS EQUITY SP PORTFOLIO | 3C7 FUND POOLED INVESTMENT | $23.5M | $5.0M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DEMAIRO, JOHN, ROBERT | Individual | – | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 12/2011 | < 5% |
| THE SEGAL GROUP, INC. | Domestic Entity | – | 100% SHAREHOLDER OF SEGAL ADVISORS, INC. | 08/1969 | > 75% |
| LOCICERO, JOSEPH, ANTHONY | Individual | – | CHAIRMAN OF THE BOARD | 01/2006 | < 5% |
| BLUMENSTEIN, DAVID | Individual | – | DIRECTOR | 06/2008 | < 5% |
| LERNER, STUART | Individual | – | DIRECTOR | 01/2017 | < 5% |
| CROTTY, SUSAN, ANN | Individual | – | CHIEF INVESTMENT OFFICER/DIRECTOR | 01/2018 | < 5% |
| SHERMAN, ANDREW, D | Individual | – | DIRECTOR | 01/2019 | < 5% |
| BENZ, JENNIFER | Individual | – | DIRECTOR | 01/2020 | < 5% |
| GREENSPAN, STEVEN, CARY | Individual | – | SENIOR VICE PRESIDENT, GENERAL COUNSEL, CORPORATE SECRETARY | 12/2020 | < 5% |
| Kirby, Mary, Patricia | Individual | – | DIRECTOR | 01/2021 | < 5% |
| FRISTACHI, JOESPH, MICHAEL | Individual | – | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & TREASURER | 10/2021 | < 5% |
| CAROFANO, FRANK, PATRICK | Individual | – | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 03/2022 | < 5% |
| FRIAS, ALDWIN, PASCUA | Individual | – | DIRECTOR | 01/2022 | < 5% |