NEEDHAM & COMPANY, LLC
Adviser information for NEEDHAM & COMPANY, 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 | 170 |
|---|---|
| Investment Advisory/Research | 45 |
| Registered Broker-Dealer Representatives | 155 |
| Registered State Investment Advisers | 7 |
| 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 | 0 | $0 |
| Investment companies | 800 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1,200 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 50 | $0 |
| Other investment advisers | 200 | $0 |
| Insurance companies | 50 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 25 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 5 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | SECURITIES RESEARCH |
|---|---|
| Compensation | Fixed feesCommissionsPURSUANT TO CSA AGREEMENTS |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 801-62735 |
|---|---|
| SEC ERA File Number | 801-62735 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 16360 |
| Legal Entity Identifier | 254900J2GFQ4J4NK1J89 |
Principal Office
250 PARK AVENUE10TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 212-371-8300, Fax: 212-371-8702
Websites
Chief Compliance Officer
SALVATORE MERLINO
MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER
250 PARK AVENUE
10TH FLOOR
NEW YORK
NY
United States
Tel:
212-705-0302
Fax:
212-371-8702
S*******@************M
(Full email address available in API data)
Regulatory Contact
JAMES M. ABBRUZZESE
MANAGING DIRECTOR AND CHIEF ADMINISTRATIVE OFFICER
250 PARK AVENUE
10TH FLOOR
NEW YORK
NY
United States
Tel:
212-705-0364
Fax:
212-371-8702
J**********@************M
(Full email address available in API data)
Industry Affiliates
| NEEDHAM INVESTMENT MANAGEMENT, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PRIOR, JOHN JOSEPH JR | Individual | – | MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC. | 01/2022 | 10-25% |
| ABBRUZZESE, JAMES MICHAEL | Individual | – | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES | 03/2012 | < 5% |
| NEEDHAM HOLDINGS, LLC | Domestic Entity | – | MEMBER | 04/2005 | > 75% |
| THE NEEDHAM GROUP, INC. | Domestic Entity | NEEDHAM HOLDINGS LLC | MEMBER | 12/2004 | > 75% |
| NEEDHAM, GEORGE AUSTIN | Individual | THE NEEDHAM GROUP, INC | SHAREHOLDER | 12/2004 | |
| MALIK, ANDREW JOSEPH | Individual | – | MANAGING DIRECTOR, CHAIRMAN | 04/2008 | < 5% |
| IACOVONE, JACK JAMES | Individual | – | MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING | 01/2022 | 10-25% |
| FIORDALISO, ROBERT JOSEPH | Individual | – | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | 02/2011 | < 5% |
| MERLINO, SALVATORE ANTHONY | Individual | – | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | 03/2012 | < 5% |
| MALONEY, THOMAS ANTHONY | Individual | – | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | 02/2007 | < 5% |
| MALLOY, JOHN PATRICK | Individual | – | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | 11/2018 | < 5% |
| LAUFER, DAVID MICHAEL | Individual | – | MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING | 12/2020 | < 5% |