Dalton, Greiner, Hartman, Maher & Co., LLC (New York)

Name: Dalton, Greiner, Hartman, Maher & Co., LLC
Address: 565 Fifth Avenue, New York, NY, 10017 2413
Telephone: 212-557-2445

Dalton, Greiner, Hartman, Maher & Co., LLC is a large advisory firm based in New York. It manages $1.71 billion of regulatory assets for 1,053 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of Alabama, Arkansas, California, and 28 other states.

Dalton, Greiner, Hartman, Maher & Co. provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Dalton, Greiner, Hartman, Maher & Co.: assets under management

The assets under management (AUM) of Dalton, Greiner, Hartman, Maher & Co., LLC is $1.71 billion. The firm's AUM has gone down by -43% since the beginning of its operation, and $118.58 million of the total AUM is attributable to clients outside of the United States.

The firm manages $1.68 billion in discretionary accounts and $30.01 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.61 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $6 million.

Dalton, Greiner, Hartman, Maher & Co. has custody of $48.8 million in cash and securities for 51 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 95% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 5% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Dalton, Greiner, Hartman, Maher & Co., LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Corey Anthony Griffin serves?

The firm provides services to individuals, investment companies, charitable organizations, high net worth individuals, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Corey Anthony Griffin is investment companies with 5 clients and $387.91 million of assets under management. Among the 10 most similar advisory firms, Dalton, Greiner, Hartman, Maher & Co. has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $1.65 billion for 1,083 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Dalton, Greiner, Hartman, Maher & Co. doesn't advise any private funds.

Careers at Dalton, Greiner, Hartman, Maher & Co., LLC

The company employs 18 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Corey Anthony Griffin has been acting as President since 1 Jul 2015. Jeffrey C Baker has served as the Chief Investment Officer since 1 Jan 2007 and Anthony Dechellis is the Chief Executive Officer of Dalton, Greiner, Hartman, Maher & Co., LLC family office. Audrey Elizabeth Niesen joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Barbara M Kirby	Senior vice president of applicant/shareholder	1 Apr 1990	Other	1901941
Dolores Ann Casaletto	Vice president of applicant/shareholder	1 Apr 1990	Other	1626218
Barbara Marie Kirby	Title member	1 Apr 1990	Other	1901941
Peter A Gulli	Vice president of applicant/shareholder	1 Oct 1999	Other	4771537
Kate B Schwartz	Trader/shareholder	1 Apr 2000	Other	4771540
Jeffrey C Baker	Senior vice president/portfolio manager of applicant/shareholder	1 Jul 2000	Other	4771527
Robert Thomas Gorman	Vice president of applicant/shareholder	1 Jan 2002	Other	1675884
Christina Lynn Fiorito	Research analyst/shareholder	1 Jun 2002	Other	4282441
Randall F Watsek	Research analyst/shareholder	1 Jul 2002	Other	4771544
Inc. Boston Private Financial Holdings Company	Managing member	1 Feb 2004	75% - 100%	04-2976299
Timothy George Dalton	Title member	1 Feb 2004	Other	1102664
Arthur Jon Bauernfeind	Director, chairman and ceo, shareholder, portfolio manager	1 Feb 2004	Other	14967
Timothy Landon Vaill	Director, shareholder	1 Feb 2004	Other	4345783
Kenneth John Greiner	Chief executive officer of applicant/shareholder	1 Feb 2004	Other	1162397
Stephen John Bruno	Executive vice president/portfolio manager of applicant/shareholder	1 Feb 2004	Other	1382890
Bruce Howard Geller	Senior vice president/portfolio manager of applicant/shareholder	1 Feb 2004	Other	2246848
Barbara Marie Kirby	Title member	1 Feb 2004	Other	1901941
Adriano F. Almeida	Vice president/portfolio manager of applicant/shareholder	1 Jan 2005	Other	5013655
Adriano Ferreira Almeida	Title member	1 Jan 2005	Other	5013655
Thomas Francis Gibson	Chief financial officer	1 Aug 2005	Other	4379721
Peter Anthony Gulli	Title member	1 Jan 2006	Other	4771537
Kate Branigan O'brien	Title member	1 Jan 2006	Other	4771540
Thomas Francis Gibson	Chief compliance officer	1 Jan 2006	Other	4379721
Christina Lynn Fiorito	Vice president/portfolio manager of applicant/shareholder	1 Jan 2006	Other	4282441
Kate B Schwartz	Vice president of applicant/shareholder	1 Jan 2006	Other	4771540
Peter A Gulli	Senior vice president of applicant/shareholder	1 Jan 2006	Other	4771537
Kate Branigan Schwartz	Title member	1 Jan 2006	Other	4771540
Kenneth John Greiner	Title member	1 Jan 2007	Other	1162397
Jeffrey Charles Baker	Title member	1 Jan 2007	Other	4771527
Dolores Ann Casaletto	Title member	1 Jan 2007	Other	1626218
Bruce Howard Geller	Chief executive officer/portfolio manager of applicant/shareholder	1 Jan 2007	Other	2246848
Jeffrey C Baker	Chief investment officer/portfolio manager of applicant/shareholder	1 Jan 2007	Other	4771527
Erika Brynne Donalds	Title member	1 Jul 2007	Other	5378145
David Scott Dusenbury	Title member	1 Jul 2007	Other	2205558
Joshua Aaron Waltuch	Title member	1 Jul 2007	Other	2365590
Joshua A Waltuch	Vice president of applicant/shareholder	1 Jul 2007	Other	2365590
Bruce Howard Geller	Title member	1 Apr 2008	Other	2246848
Charles Michael Hazard	Managing member	1 Apr 2008	Other	240834
Timothy Landon Vaill	Director of applicant	1 Apr 2008	Other	4345783
Randall Francis Watsek	Title member	1 Jul 2008	Other	4771544
Randall F Watsek	Vice president of applicant/shareholder	1 Jul 2008	Other	4771544
Donald Stephen L Porter	Title member	1 Jul 2009	Other	5688775
Joseph Henry Cromarty	Managing member	1 Mar 2010	Other	2351673
Clayton George Deutsch	Managing member	1 Oct 2010	Other	5860322
Michael Sean Dunn	Title member	1 Jan 2012	Other	1496888
Douglas Alan Chudy	Title member	1 Jul 2013	Other	5269540
Erin A Gilroy	Title member	1 Jul 2013	Other	4360166
Erin G Lane	Title member	1 Jul 2013	Other	4360166
Corey Anthony Griffin	Director	1 Jul 2015	Other	4333862
Erika Brynne Donalds	Chief compliance officer	1 Nov 2015	Other	5378145
Lisa Elizabeth Hurst	Member	1 Jan 2017	Other	2176693
Anthony Dechellis	Chief executive officer	1 Nov 2018	Other	1342685
Audrey Elizabeth Niesen	Chief compliance officer	1 Jan 2019	Other	7062613
Paul Michael Simons	Chief of corporate strategy & development	1 Jan 2019	Other	1720329

Based in New York

The principal office where Dalton, Greiner, Hartman, Maher & Co., LLC performs its advisory services is located at 565 Fifth Avenue, New York, NY 10017 2413, which is also the mailing address of the firm. An additional office of the firm is in Naples, FL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-557-2445 or by fax 212-687-3979. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at dghm.com.