Ramirez Asset Management, Inc. (New York)


Ramirez Asset Management, Inc. is a large advisory firm based in New York. It manages $2.19 billion of regulatory assets for 72 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Illinois, New Jersey, New York, and Puerto Rico.

Ramirez Asset Management provides portfolio management for individuals and small businesses 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.

Ramirez Asset Management: assets under management

The assets under management (AUM) of Ramirez Asset Management, Inc. is $2.19 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 1888% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $2.19 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $30.37 million each.

Investments

The firm invests in state and local bonds the most. They account for 36% of the total AUM. The second-largest asset type is other assets, which make up 23% of the firm’s portfolio. Investments in investment grade corporate bonds form 22% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Ramirez Asset Management, Inc. for their services and products based on a percentage of assets under management. 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 Jr Samuel Alfred Ramirez serves?

The firm provides services to charitable organizations, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Jr Samuel Alfred Ramirez is state or municipal government entities with 12 clients and $1.5 billion of assets under management. Among the 12 most similar advisory firms, Ramirez Asset Management has the highest percentage of state or municipal government entities out of all clients.

The amount of regulatory assets under management is $1.81 billion for 22 clients. None of the firm’s clients are foreign persons or businesses.

Ramirez Asset Management doesn't advise any private funds.

Careers at Ramirez Asset Management, Inc.

The company employs 18 people that are either part- or full-time employees. 44 percent of the employees work as investment advisers or researchers. 4 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.

Jr Samuel Alfred Ramirez has been acting as President since 1 Nov 2009. Jr. Samuel Alfred Ramirez joined the executive team most recently as the Shareholder.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
John Vincent Kick Executive vp, cfo 1 Mar 1998 Other 859080
Samuel Alfred Ramirez President 1 Mar 1998 Other 827095
George Warren Graham Managing director, coo 1 Mar 1998 Other 845968
Alexander Vermitsky Vice president, cco 1 Mar 1998 Other 1634136
Dominick Peter Quartuccio Executive vp 1 Mar 1998 Other 828234
Inc. Sar Holdings Parent company 1 Apr 1998 75% - 100% 13-4017635
Paolo Humberto Valle Senior vp, director 1 Feb 2001 Other 4387367
Bryan Alan Oesterreicher Portfolio manager 1 Jan 2002 Other 3093291
Bryan Alan Oesterreicher Vice president 1 Oct 2004 Other 3093291
Jerry Auld Chief compliance officer 1 Oct 2004 Other 2489295
Samuel Alfred Ramirez Senior vice president 1 Nov 2004 Other 2261054
Samuel Alfred Ramirez Managing director/portfolio manager 1 Nov 2004 Other 2261054
Jr Samuel Alfred Ramirez President/ceo 1 Nov 2009 Other 2261054
Samuel Alfred Ramirez President 1 Nov 2009 Other 2261054
Peter Thomas Sigismondi Chief compliance officer 1 Jul 2012 Other 1437575

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Samuel Alfred Ramirez Shareholder 1 Apr 1998 50% - 75% 827095
Jr. Samuel Alfred Ramirez Shareholder 1 Dec 2012 25% - 50% 2261054

Based in New York

The principal office where Ramirez Asset Management, Inc. performs its advisory services is located at 61 Broadway, New York, NY 10006, which is also the mailing address of the firm. An additional office of the firm is in San Juan, PR. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-248-0500 or by fax 212-378-7140. The normal business hours are 8:30 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at ramirezam.com.