KNICKERBOCKER ADVISORS INC.
Adviser information for KNICKERBOCKER ADVISORS INC. last updated from Form ADV on March 4th, 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 | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| 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 | 98 | $136.3M |
| Non-Discretionary | 0 | $0 |
| Total | 98 | $136.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 7 | $2.6M |
| HNW Individuals | 26 | $133.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| 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 | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 3 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-66574 |
|---|---|
| SEC ERA File Number | 801-66574 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 118553 |
| Legal Entity Identifier | None |
Principal Office
45 JOHNNY CAKE HOLLOW ROADPINE PLAINS
NY
United States
BY APPOINTMENT ONLY, BY APPOINTMENT ONLY
Tel: 518-398-9000, Fax: 518-398-9800
Websites
Chief Compliance Officer
JOHN HENRY LOW
PRESIDENT, SECY., TREAS.
45 JOHNNY CAKE HOLLOW ROAD
PINE PLAINS
NY
United States
Tel:
518-398-9000
Fax:
518-398-9800
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LOW, JOHN HENRY | Individual | – | PRESIDENT, SECY.,TREAS.& CHIEF COMPLIANCE OFFICER | 02/1992 | > 75% |
| LOW, CONSTANZA, F.A. | Individual | – | VICE PRESIDENT | 06/1994 | < 5% |