Robert Fleming Inc. (New York)


Robert Fleming Inc. is a large advisory firm based in New York. It manages $576.43 million of regulatory assets for 942 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Logo

Robert Fleming 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.

Robert Fleming: assets under management

The assets under management (AUM) of Robert Fleming Inc. is $576.43 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -88% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $576.43 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $611.92 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Robert Fleming Inc. for their services and products based on a percentage of assets under management 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 Robert Fleming Inc.

Jonathan Kendrew Simon has been acting as President since 1 Oct 1991. Anthony Mark Leslie Roberts joined the executive team most recently as the Head Of Legal/Managing Director.

Direct owners and executive officers



Name Entity Date acquired Ownership Employer ID
Jonathan Kendrew Simon Director 1 Oct 1991 Other 1189836
Christopher Mark Jones Director 1 Mar 1997 Other 2370542
Eduardo Canet Director 1 Mar 1998 Other 2468568
Leonard G Lubrano Cfo 1 Nov 1999 Other 1091164
Arthur Aaron Levy Chairman 1 Nov 2000 Other 308210
Charles Robert Bridge Director 1 Nov 2000 Other 3108244
Larry Alan Kimmel President 1 Nov 2000 Other 269619
William Robert Maass Director 1 Nov 2000 Other xxx-xx-xxxx
Thomas James Smith Md/chief compliance officer 1 Jan 2001 Other 4325577
Veronique Weill Director 1 Feb 2002 Other 4372858
Ronald Richard Dewhurst President/director 1 Feb 2002 Other 1590061
Jeff Trongone Chief financial officer 1 Feb 2002 Other 4336443
George C.W Gatch Director/managing director 1 Oct 2002 Other 4320888
Eve Guernsey President/director/managing director 1 Oct 2002 Other 2861310
Kenneth M Moore Chief financial officer/vice president 1 Oct 2002 Other 4604664
Seth Perry Bernstein Global head of fixed income/managing director 1 Oct 2002 Other 2025891
George Crosby White Gatch Director/managing director 1 Oct 2002 Other 4320888
Evelyn Victoria Exley Guernsey President/director/managing director 1 Oct 2002 Other 2861310
Dennis Miles Kass Director/managing director 1 Oct 2002 Other 1244371
Paul Louis Scibetta Chief fiduciary officer/managing director 1 Nov 2002 Other 4448887
Martin Roy Porter Global head of equities/cio 1 Feb 2003 Other 4360894
Lawrence Mark Unrein Director 1 Feb 2003 Other 4380391
Pablo Forero Deputy global head of equities/managing director 1 Feb 2003 Other 4620057
Andrew Spencer Chief investment officer of us retail business/managing director 1 Mar 2003 Other 4671266
Roy Kinnear Treasurer/managing director 1 Apr 2003 Other 4517164
Patricia Lurel Cook Chief investment officer of global fixed income/managing director 1 May 2003 Other 1066107
Anthony Mark Leslie Roberts Head of legal/managing director 1 Jul 2003 Other 4691455

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Copthall Overseas Ltd. Stockholder 1 Oct 1985 75% - 100%
Robert Flemings Holdings Ltd Stockholder 1 Oct 1985 75% - 100%
Robert Fleming Nominees Ltd Stock holder 1 Oct 1985 25% - 50%
The Chase Manhattan Corporation Stockholder 1 Aug 2000 75% - 100% 13-2624428
J.P. Morgan Chase & Co. Stockholder 1 Aug 2000 75% - 100% 13-2624428

Based in New York

The principal office where Robert Fleming Inc. performs its advisory services is located at 522 Fifth Avenue, New York, NY 10036, 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 212-837-1400 or by fax 212-837-1108. The normal business hours are 9:00am-5:00pm on Monday - Friday. You can find more information about the New York firm at www.jpmorganfam.com.