Whitehall Asset Management, Inc. (New York)

Name: Whitehall Asset Management, Inc.
Address: 50 Rockefeller Plaza, New York, NY, 10020
Telephone: 212-259-3800

Whitehall Asset Management, Inc. is a large advisory firm based in New York. It manages $1.84 billion of regulatory assets for 555 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Alabama, California, Colorado, and 15 other states.

Whitehall Asset Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Whitehall Asset Management: assets under management

The assets under management (AUM) of Whitehall Asset Management, Inc. is $1.84 billion. The firm's AUM has gone down by -43% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.01 billion in discretionary accounts and $829.3 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.6 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $4.94 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Whitehall Asset Management, Inc. for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Whitehall Asset Management, Inc.

Warren Joseph Olsen has been acting as President since 1 Jan 2000. Marc Stephen Keller has served as the Chief Investment Officer since 1 Apr 1998. Allan David Kiser joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Marc Stephen Keller	Vice president & director	1 Feb 1998	Other	266581
Marc Stephen Keller	Chief investment officer	1 Apr 1998	Other	266581
Ibj Whitehall Bank & Trust Company	100% owner of whitehall asset management, inc.	1 Apr 1998	75% - 100%	13 537 5195
Industrial Bank Of Japan Limited	100% owner of ibj whitehall bank & trust company	1 Apr 1998	75% - 100%	foreign entity
Jeffrey Daniel Silva	Director of compliance	1 Apr 1999	Other	4371198
Warren Joseph Olsen	President	1 Jan 2000	Other	1859614
Joseph Edward Breslin	Senior managing director	1 Jan 2000	Other	1024480
Judith Linda Levy	Chief legal officer	1 Apr 2000	Other	4371211
Peter Lawrence Kirby	Chief administrative officer	1 Sep 2000	Other	1291764
Mizuho Holdings Inc.	100% owner of ibj limited	1 Sep 2000	75% - 100%	foreign entity
Marc Stephen Keller	President and chief investment officer	1 Mar 2002	Other	266581
Industrial Bank Of Japan Trust Company	100% owner of whitehall asset management, inc.	1 Mar 2002	75% - 100%	foreign entity
Masahiro Watanabe	Chairman of the board and director	1 Apr 2002	Other	4520388
Allan David Kiser	Chief compliance officer	1 Feb 2003	Other	1925290
Paul Joseph Elmlinger	General counsel & secretary	1 Feb 2003	Other	2094910
Inc. Atlantic Trust Group	Sole shareholder	1 Feb 2003	75% - 100%	04-3173832
Stephen Emanuel Prostano	President, ceo & director	1 Feb 2003	Other	2993748
Mark David Santero	Director	1 Feb 2003	Other	1148011
John Jay Bini	Treasurer	1 Feb 2003	Other	1201749
Nancy Ellen Sloane	Compliance officer & assistant secretary	1 Feb 2003	Other	703098

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Amvescap Plc	Sole shareholder of avz inc.	1 Feb 1997	75% - 100%	united kingdom
Avz Inc.	Sole shareholder of amvescap group services, inc.	1 Feb 1997	75% - 100%	58-228-7224
Inc. Amvescap Group Services	Sole shareholder of invesco north american holdings, inc.	1 Dec 2000	75% - 100%	51-1995394
Inc. Invesco North American Holdings	Sole shareholder of atlantic trust group, inc.	1 Dec 2000	75% - 100%	51-0264787
Mizuho Corporate Bank Ltd.	100% owner of industrial bank of japan trust company	1 Apr 2002	75% - 100%	foreign entity
Inc. Mizuho Holdings	100% owner of mizuho corporate bank ltd.	1 Apr 2002	75% - 100%	foreign entity

Based in New York

The principal office where Whitehall Asset Management, Inc. performs its advisory services is located at 50 Rockefeller Plaza, New York, NY 10020, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 212-259-3800 or by fax 212-259-3888. The normal business hours are 8:30a.m.-5:00p.m. on Monday - Friday. You can find more information about the New York firm at www.thewhitehallfunds.com.