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C.E. Unterberg, Towbin (A California Limited Partnership) (New York)


C.E. Unterberg, Towbin (A California Limited Partnership) is a large advisory firm based in New York. It manages $163.3 million of regulatory assets for 21 client accounts. It has been registered with the SEC as an adviser since 2001.

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C.E. Unterberg, Towbin (A California Limited Partnership) provides portfolio management for individuals and small businesses 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.

C.E. Unterberg, Towbin (A California Limited Partnership): assets under management

The assets under management (AUM) of C.E. Unterberg, Towbin (A California Limited Partnership) is $163.3 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -33% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $163.3 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $7.78 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay C.E. Unterberg, Towbin (A California Limited Partnership) 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.

Careers at C.E. Unterberg, Towbin (A California Limited Partnership)

Thomas Israel Unterberg has been acting as President since 1 Dec 1999. Inc. Ceut Holdings joined the executive team most recently as the Sole Member.

Direct owners and executive officers



Name Entity Date acquired Ownership Employer ID
C.E. Unterberg Inc. General partner 1 May 1989 Other 13-3495144
Andrew Arno Inc. General partner 1 Aug 1990 Other 13-3586726
Robert M. Matluck Inc. General partner 1 Aug 1990 Other 13-3586723
Andrew Inc. Arno Member 1 Aug 1990 Other 13-3586726
Lavitt Management Inc. General partner 1 Aug 1992 Other 13-3586726
Brian L. Finnerty Inc. General partner 1 Jan 1994 Other 13-3752379
Steven P. Novak Inc. General partner 1 Jan 1994 Other 13-3749960
Artbin Inc. General partner 1 Sep 1995 Other 13-3851786
Gene Robert Abrams Director of compliance 1 Mar 1997 Other xxx-xx-xxxx
Jeffrey C. Moskowitz Ltd. General partner 1 Jan 1998 Other 13-3985918
Kodiak Llc General partner 1 Jan 1998 Other 13-3868429
Jeffrey C. Ltd Moskowitz Member 1 Jan 1998 Other 13-3985918
Marrus Corp. General partner 1 Jul 1998 Other 13-4007776
Robert Lewis Thompson Chief financial officer 1 Jul 1998 Other xxx-xx-xxxx
Inc. Frazzle General partner 1 Jan 1999 Other 13-4051436
Inc. Brian Goldman General partner 1 Jan 1999 Other 13-4054316
Inc. Alex P. Bernstein General partner 1 Jan 1999 Other 94-3324197
Inc. Questel General partner 1 Jan 1999 Other 13-4050489
Inc. Estelle Konviser General partner 1 Jan 1999 Other 13-4049677
Dc Ii General partner 1 Jan 1999 Other 13-4064812
David Michael Barrett Financial and operations principal 1 Mar 1999 Other 3133510
Ltd. Branigan Holdings General partner 1 Aug 1999 Other 13-4084270
James Singer Corp. General partner 1 Sep 1999 Other 13-4084341
Mitchell Meisler Inc. General partner 1 Oct 1999 Other 13-4084375
Ol Tawes Inc. General partner 1 Nov 1999 Other 13-4089994
Asln Inc. General partner 1 Nov 1999 Other 13-4089965
Adam Ritzer Inc. General partner 1 Nov 1999 Other 13-4085108
Robert Michael Matluck Co-chief executive officer 1 Dec 1999 Other 1185892
Thomas Israel Unterberg Chairman 1 Dec 1999 Other xxx-xx-xxxx
Abraham Robert Towbin Co-chairman 1 Dec 1999 Other 448476
Mel Stuart Lavitt Vice chairman 1 Dec 1999 Other 303836
Andrew Arno Co-chief executive officer 1 Dec 1999 Other 1021807
Thomas Duggan Inc. General partner 1 Jan 2000 Other 13-4100338
M. O'connor Inc. General partner 1 Jan 2000 Other 13-4100174
James D. Poyner Jr. Inc. General partner 1 Jan 2000 Other 13-4094441
Ltd Jacandmaq Inc. General partner 1 Jan 2000 Other 21-6468446
Bob Thompson Corporation General partner 1 Jan 2000 Other 13-4096966
James T. Whipple Corp. General partner 1 Jan 2000 Other 13-4099165
Stephen Adler Inc. General partner 1 Jan 2000 Other 13-4100102
Andrew Waldeck Corp. General partner 1 Jan 2000 Other 13-4117088
Karl Motey Inc. General partner 1 Jan 2000 Other 94-3371353
Mark Levy Ltd. General partner 1 Jan 2000 Other 13-4100147
William Kidd Inc. General partner 1 Jan 2000 Other 13-4127413
Wgd Inc. General partner 1 Jan 2000 Other 13-4121883
Jolex Inc. Genral partner 1 Jan 2000 Other 13-4117881
Jane Dragone Ltd. General partner 1 Jan 2000 Other 13-4135590
David Boucher Corp. General partner 1 Jan 2000 Other 84-1573479
T.E. Duggan Corp. General partner 1 Jan 2000 Other 13-4100338
Jane Dragone Inc. General partner 1 Jan 2000 Other 13-4135590
David Boucher Inc. General partner 1 Jan 2000 Other 84-1573479
Inc. John Cronin General partner 1 Apr 2001 Other 13-4154195
Eckhardt Corp. General partner 1 Apr 2001 Other 13-4162516
Florence Kimm Corp. General partner 1 Apr 2001 Other 13-4169426
Sydney Murphy Corp. General partner 1 Apr 2001 Other 13-4154061
T.O. Rudd Corporation General partner 1 Apr 2001 Other 13-4169621
Inc. Martin Pyykkonen General partner 1 Apr 2001 Other 94-3390679
Rd Long Corp. General partner 1 Apr 2001 Other 13-4175748
The Moorhead Group Inc. General partner 1 Apr 2001 Other 13-3589703
Sydney Murphy Ltd. General partner 1 Apr 2001 Other 13-4154061
Inc. Madrans General partner 1 Jan 2002 Other 02-0553968
Inc. S.J. Dora General partner 1 Jan 2002 Other 80-0034270
Jiggsy Ltd General partner 1 Jan 2002 Other 80-0034160
Inc. Gutfreund & Co. General partner 1 Jan 2002 Other 13-3731589
Inc. Dogheart General partner 1 Jan 2002 Other 04-3639426
J. B. Townsend Corp. General partner 1 Jan 2002 Other 04-3650707
S T S Corp. General partner 1 Jan 2002 Other 33-1041475
Howard Ramsey Sutherland Chief legal officer 1 Apr 2003 Other 4654819
Lewis Rabinowitz Srop 1 Sep 2003 Other 369731
Christine C. Gallagher General partner 1 Oct 2003 Other 13-4210410
Michael J. Krasko General partner 1 Oct 2003 Other 13-3257787
Christine C. Ltd. Gallagher General partner 1 Oct 2003 Other 13-4210410
Michael J. Inc. Krasko General partner 1 Oct 2003 Other 13-3257787
Andrew Leon Berger Senior managing director, executive committee member 1 Oct 2003 Other 1053795
Peter William Fick Chief compliance officer 1 Dec 2003 Other 1414468
Inc. Ceut Holdings Sole member 1 Jan 2004 75% - 100% 20-0526156
Stanley B Stern Executive member 1 Jan 2004 Other 721616
Harlan Phillip Kleiman Vice chairman , executive member 1 Jan 2004 Other 2546618

Indirect Owners

The SEC currently registers 62 indirect owners.

Name Entity Date acquired Ownership Employer ID
Thomas Israel Unterberg President 1 May 1989 75% - 100% 451739
Andrew Arno President 1 Aug 1990 75% - 100% 1021807
Robert Michael Matluck President 1 Aug 1990 75% - 100% 1185892
Mel Stuart Lavitt President 1 Aug 1992 75% - 100% 303836
Brian Leonard Finnerty President 1 Jan 1994 75% - 100% 208042
Steven Paul Novak President 1 Jan 1994 75% - 100% 1298370
Abraham Robert Towbin President 1 Sep 1995 75% - 100% 448476
Jeffrey Craig Moskowitz President 1 Jan 1998 75% - 100% 1058165
Andrew Maximillian Blum President 1 Jan 1998 75% - 100% 24116
Michael Edwin Marrus President 1 Jul 1998 75% - 100% 1941034
Steven Charles Frankel President 1 Jan 1999 75% - 100% 2471815
Brian David Goldman President 1 Jan 1999 75% - 100% 2193220
Alexander Paul Bernstein President 1 Jan 1999 75% - 100% 2360939
Theresa Marie Garvey President 1 Jan 1999 75% - 100% 1411758
Estelle Ellen Konviser President 1 Jan 1999 75% - 100% 1103933
Jordan Stuart Berlin President 1 Jan 1999 75% - 100% 821934
Mark Christopher Branigan President 1 Aug 1999 75% - 100% 871163
James Alan Singer President 1 Sep 1999 75% - 100% 859841
Mitchell Ross Meisler President 1 Oct 1999 75% - 100% 1271863
Adam Saul Frankfort President 1 Nov 1999 75% - 100% 1293630
Adam Robert Ritzer President 1 Nov 1999 75% - 100% 1057194
Orrie Lee Iii Tawes President 1 Nov 1999 75% - 100% 442987
Thomas Edward Duggan President 1 Jan 2000 75% - 100% 1584685
Michelle Paula Oconnor President 1 Jan 2000 75% - 100% 2686541
James Davis Jr Poyner President 1 Jan 2000 75% - 100% 1136320
Robert Lewis Thompson President 1 Jan 2000 75% - 100% 2293274
James Thomas Whipple President 1 Jan 2000 75% - 100% 1417979
Douglas Michael Quartner President 1 Jan 2000 75% - 100% 1018202
Paul Frederick Rodriguez President 1 Jan 2000 75% - 100% 2688905
Andrew M Waldeck President 1 Jan 2000 75% - 100% xxx-xx-xxxx
Wiliam Garrett Jr Dering President 1 Jan 2000 75% - 100% xxx-xx-xxxx
Stephen Joseph Adler President 1 Jan 2000 75% - 100% 819059
William Bf Kidd President 1 Jan 2000 75% - 100% 3169014
Karl Kaveh Motey President 1 Jan 2000 75% - 100% 2822464
Mark Lewis Levy President 1 Jan 2000 75% - 100% 1049720
Jane Elizabeth Dragone President 1 Jan 2000 75% - 100% xxx-xx-xxxx
David Farrell Boucher President 1 Jan 2000 75% - 100% 1055613
John Raymond Cronin President 1 Apr 2001 75% - 100% 1652188
Charles Cole Eckhardt President 1 Apr 2001 75% - 100% 708756
Florence Young Kimm President 1 Apr 2001 75% - 100% 2607727
Suzanne Elizabeth Murphy President 1 Apr 2001 75% - 100% 1863323
Theodore Rudd Oneill President 1 Apr 2001 75% - 100% 2488334
Martin Paul Pyykkonen President 1 Apr 2001 75% - 100% 2334996
Robert Douglas Long President 1 Apr 2001 75% - 100% 858858
John Upshur Ii Moorhead President 1 Apr 2001 75% - 100% 1329616
John Halle Gutfreund President 1 Jan 2002 75% - 100% 13-3731589
James B. Townsend President 1 Jan 2002 75% - 100% 04-3650707
James Alperin President 1 Jan 2002 75% - 100% 80-0034160
Randall Longfield President 1 Jan 2002 75% - 100% 02-0553968
John H. Gutfreund President 1 Jan 2002 75% - 100% 13-3731589
James R. Alperin President 1 Jan 2002 75% - 100% 80-0034160
Dora Stephen J President 1 Jan 2002 75% - 100% 80-0034270
James Bowne Townsend President 1 Jan 2002 75% - 100% 712970
James Richard Alperin President 1 Jan 2002 75% - 100% 2467392
Randall Nicholas Longfield President 1 Jan 2002 75% - 100% 312384
Stephen John Dora President 1 Jan 2002 75% - 100% 2470840
Stanley B Stern President 1 Jan 2002 75% - 100% 721616
Christine C. Gallagher President 1 Oct 2002 75% - 100% 13-4210410
Christine C Gallagher President 1 Oct 2002 75% - 100% 2741442
Michael J Krasko President 1 Oct 2003 75% - 100% 13-3257787
Michael John Krasko President 1 Oct 2003 75% - 100% 275001
Towbin Inc. C.E. Unterberg Shareholder 1 Jan 2004 25% - 50% 13-3495144

Based in New York

The principal office where C.E. Unterberg, Towbin (A California Limited Partnership) performs its advisory services is located at 350 Madison Avenue, New York, NY 10017, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-389-8000 or by fax 212-389-8881. The normal business hours are 9am to 5pm on Monday - Friday. You can find more information about the New York firm at www.unterberg.com.


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