CANTOR FITZGERALD INVESTMENT ADVISORS
CANTOR FITZGERALD INVESTMENT ADVISORS, L.P. Legal Name
Adviser information for CANTOR FITZGERALD INVESTMENT ADVISORS last updated from Form ADV on March 19th, 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 35 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 27 |
| Registered State Investment Advisers | 35 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 35 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,364 | $1.6B |
| Non-Discretionary | 0 | $0 |
| Total | 1,364 | $1.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 714 | $190.0M |
| HNW Individuals | 572 | $858.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 4 | $461.2M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $19.6M |
| Pension and profit sharing plans | 17 | $23.9M |
| Charitable organizations | 33 | $42.0M |
| 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 | 23 | $48.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesASSETS UNDER A RESEARCH PROVIDER ARRANGEMENT |
| Other Business Activities | Commodity pool operator or commodity trading advisorCOMPOSITE PORTFOLIOS |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 401.2M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| AMC (ASSET MANAGEMENT CONSULTING) PREMIER PROGRAM | TRUIST INVESTMENT SERVICES, INC. |
| CONNECT | STIFEL, NICOLAUS & COMPANY, INCORPORATED |
| OUTSIDE MANAGER (OSM) | RAYMOND JAMES & ASSOCIATES, INC. |
| SYNOVUS INVESTMENT STRATEGIES | SYNOVUS SECURITIES, INC. |
| UBS MAC | UBS FINANCIAL SERVICES INC. |
| UNIFIED ACCOUNT | ENVESTNET PMC |
| SMA MANAGER SELECT PROGRAM | LPL FINANCIAL LLC |
| ROCKEFELLER CAPITAL MANAGEMENT - �SMA PROGRAM | ROCKEFELLER CAPITAL MANAGEMENT |
Identifiers
| SEC RIA File Number | 801-72852 |
|---|---|
| SEC ERA File Number | 801-72852 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 159296 |
| Legal Entity Identifier | None |
Principal Office
110 EAST 59TH STREET7TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00-5:00
Tel: (212) 915-1722, Fax: (212) 829-4772
Chief Compliance Officer
WALTER D KARLE
110 EAST 59TH STREET
7TH FLOOR
NEW YORK
NY
United States
Tel:
212-915-1722
Fax:
(212) 829-4772
W***********@*********M
(Full email address available in API data)
Regulatory Contact
MICHAEL NORTON
ASSISTANT VICE PRESIDENT
110 EAST 59TH STREET
7TH FL
NEW YORK
NY
United States
Tel:
212-558-4568
M******@*********M
(Full email address available in API data)
Industry Affiliates
| CANTOR FITZGERALD & CO. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerFutures commission merchant |
| FINTAN PARTNERS LLC | Other investment adviser, including financial planners |
| RESOLUTION RECOVERY PARTNERS MANAGER, LLC | Other investment adviser, including financial planners |
| SMITH GROUP ASSET MANAGEMENT, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CANTOR REALTY FUND III, L.P. | REAL ESTATE LENDING | $19.6M | $0.1M | 10 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CANTOR FITZGERALD INVESTMENT ADVISORS HOLDINGS, LLC | Domestic Entity | – | MANAGING PARTNER | 02/2010 | > 75% |
| LUTNICK, HOWARD, WILLIAM | Individual | HOWARD W. LUTNICK PERSONAL ASSET TRUST | SOLE TRUSTEE | 05/2009 | > 75% |
| LUTNICK, HOWARD, WILLIAM | Individual | HOWARD W. LUTNICK REVOCABLE TRUST | SOLE TRUSTEE | 01/2010 | > 75% |
| CF GROUP MANAGEMENT, INC. | Domestic Entity | CANTOR FITZGERALD, L.P. | MANAGING GENERAL PARTNER | 01/2010 | |
| HOWARD W. LUTNICK PERSONAL ASSET TRUST | Domestic Entity | CANTOR FITZGERALD, L.P. | LIMITED PARTNER | 11/2011 | 25-50% |
| MERKEL, STEPHEN, MARCUS | Individual | – | GENERAL COUNSEL AND SECRETARY | 02/2010 | < 5% |
| CANTOR FITZGERALD, L.P. | Domestic Entity | CANTOR FITZGERALD INVESTMENT ADVISORS HOLDINGS, LLC | MEMBER | 06/2005 | > 75% |
| MILLARD, MICHAEL, GERARD | Individual | – | EXECUTIVE VICE PRESIDENT | 07/2022 | < 5% |
| HOWARD W. LUTNICK REVOCABLE TRUST | Domestic Entity | CF GROUP MANAGEMENT, INC. | SHAREHOLDER | 11/2011 | > 75% |
| KARLE, WALTER, DESMOND | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2018 | < 5% |
| MORGAN, HERBERT, WILLIAM | Individual | – | SR MANAGING DIRECTOR | 02/2017 | < 5% |
| PAULSON, KENNETH, MICHAEL | Individual | – | CHIEF FINANCIAL OFFICER | 01/2020 | < 5% |
| KAPLAN, MARK, ELLIOT | Individual | – | CHIEF EXECUTIVE OFFICER | 01/2019 | < 5% |
| BRUCE, JOHN, THOMAS | Individual | – | SR MANAGING DIRECTOR | 06/2021 | < 5% |
| FERRI, WILLIAM, JOSEPH | Individual | – | GLOBAL HEAD OF ASSET MANAGEMENT | 06/2022 | < 5% |