Bny Associates Incorporated (New York)

Name: Bny Associates Incorporated
Address: One Wall Street, New York, NY, 10286
Telephone: 212-635-1487

Bny Associates Incorporated is a large advisory firm based in New York. It manages $150 million of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Bny Associates Incorporated provides market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Bny Associates Incorporated: assets under management

The assets under management (AUM) of Bny Associates Incorporated is $150 million, all of which is managed in discretionary accounts. The company doesn't manage any assets belonging to foreign clients.

The firm manages $150 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $37.5 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Bny Associates Incorporated 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 Bny Associates Incorporated

Brian Gerard Rogan has been acting as President since 1 Dec 2002. John J Dichiara joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Gary Steven Herzog	Director/ managing director/ gen. prin.	1 Feb 1996	Other	2377382
Gary Mitchell Strumeyer	Managing director/ gen. prin. / director	1 Sep 1996	Other	1157466
Frederick Sebastian Yosca	Managing director/ gen. prin./director	1 Sep 1996	Other	2740203
Inc. Bny Capital Markets Holdings	Sole shareholder of bny capital markets, inc.	1 Sep 1996	75% - 100%	13-3878172
Joseph Frank Mannello	Director/ managing director/ gen. prin.	1 Mar 1998	Other	1030674
John Hinricks Hale	Managing director/ director/ gen. prin.	1 Mar 1998	Other	1473933
Gerald L Hassell	Director	1 May 1998	Other	xxx-xx-xxxx
James Kennedy Mason	Managing director/ director	1 Jul 1998	Other	2666729
Bruce Winfield Van Saun	Fin op principal/ director	1 Oct 1999	Other	1749923
Glenn Paul Autorino	Managing director/director	1 Mar 2000	Other	2738391
John Michael Jr Gavin	Chief financial officer/director	1 Sep 2000	Other	1664901
Behdad Alizadeh	Managing director/director	1 Nov 2001	Other	1952363
Kevin Dunphy	Senior vice president / director	1 Jun 2002	Other	xxx-xx-xxxx
Brian Gerard Rogan	Director/sevp/general principal	1 Dec 2002	Other	3041279
Torry Berntsen	Director/ gen. prin.	1 Apr 2004	Other	1673029
Ian Kent Stewart	President/gen. prin.	1 Apr 2004	Other	3161422
John J Dichiara	Chief compliance officer	1 Aug 2005	Other	1301800

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. The Bank Of New York Company	Sole shareholder of applicants parent, bny capital markets holdings, inc.	1 Sep 1996	75% - 100%	13-2614959

Based in New York

The principal office where Bny Associates Incorporated performs its advisory services is located at One Wall Street, New York, NY 10286, 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 212-635-1487 or by fax 212-635-8525. 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 www.bankofny.com.