Db Investment Managers, Inc (New York)

Name: Db Investment Managers, Inc
Address: 345 Park Avenue, New York, NY, 10154
Telephone: 212-454-6260

Db Investment Managers, Inc is a related adviser based in New York. It manages $5.2 million of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Delaware and New York.

Db Investment Managers provides 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.

Db Investment Managers: assets under management

The assets under management (AUM) of Db Investment Managers, Inc is $5.2 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -100% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $5.2 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.3 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Db Investment Managers, Inc for their services and products based on a percentage of assets under management and fixed 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.

What kind of clients Bernard Louis Abdo serves?

The only and largest group of clients of Bernard Louis Abdo is pooled investment vehicles with 4 clients and $5.2 million of assets under management. Among the 1 most similar advisory firms, Db Investment Managers has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $5.2 million for 4 clients. None of the firm’s clients are foreign persons or businesses.

Db Investment Managers also advises several private funds. Namely, two hedge funds. The minimum investment commitment required of non-related persons ranges from $50,000 to $250,000.

Careers at Db Investment Managers, Inc

The company employs 3 people that are either part- or full-time employees. 33 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone 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.

Bernard Louis Abdo has been acting as President since 1 Mar 2014. Thomas Howard Rice joined the executive team most recently as the Chief Legal Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Deutsche Bank Trust Corporation	Direct owner	1 Nov 1972	75% - 100%	13-2944988
Anthony Conte	Chief compliance officer	1 Oct 2003	Other	3229954
Pamela Ann Kiernan	Chief operating officer, director	1 Sep 2005	Other	2707768
Steven L. Bossi	President and chief executive officer	1 Oct 2006	Other	4914431
John Kim	Chief legal officer	1 Feb 2007	Other	4519341
William Greene	Chief financial officer	1 Mar 2007	Other	5305007
Charles Pirao	Director	1 Mar 2007	Other	5305736
Charles Pirao	Director and chief operating officer	1 Jun 2007	Other	5305736
John S Pak	Chief legal officer	1 Mar 2008	Other	3226458
Jennifer Marie Birmingham	Chief financial officer	1 Jan 2009	Other	5079411
Pamela Ann Kiernan	Chief operating officer	1 Jan 2009	Other	2707768
Bart Alexander Grenier	Director and president	1 Feb 2009	Other	4451384
Adam Brett Joffe	Director	1 Feb 2009	Other	2413671
Adam Brett Joffe	Chief operating officer	1 Oct 2009	Other	2413671
John Russell Nolan	Chief executive officer	1 Oct 2009	Other	1334244
Kevin Clancy	Chief operating officer	1 Aug 2010	Other	2529419
Francine Legaspi	Chief financial officer	1 Aug 2010	Other	5832697
Nancy L. Swift	Chief compliance officer	1 Oct 2010	Other	4453281
Jason Scott Rein	Chief compliance officer	1 Jul 2011	Other	2824668
Stephanie K. Meth	Chief legal officer	1 Jul 2012	Other	6101301
Paul David Blodgett	Chief operating officer and director	1 Sep 2012	Other	5428466
Michael John Woods	Chief executive officer	1 Oct 2012	Other	2075819
Paul David Blodgett	Chief operating officer	1 Oct 2012	Other	5428466
Robin Osterdahl Berger	Chief compliance officer	1 Nov 2012	Other	1868959
Toni Anne Stapleton	Chief financial officer	1 Apr 2013	Other	2424327
Jennifer Murphy Cattier	Chief legal officer	1 Dec 2013	Other	4175467
Cattier Jennifer	Chief legal officer	1 Dec 2013	Other	4175467
Bernard Louis Abdo	President	1 Mar 2014	Other	4711215
Michele Valenti	Chief operations officer	1 Apr 2014	Other	2934857
Nancy Lee Tanzil	Chief financial officer and treasurer	1 Jun 2014	Other	2207396
Paul David Blodgett	Chief operations officer, director	1 Jul 2014	Other	5428466
Michelle Sharon Goveia	Chief compliance officer	1 Oct 2014	Other	2860014
Nancy Lee Tanzil	Chief financial officer	1 Jun 2015	Other	2207396
Berit Block	Chief legal officer	1 Sep 2015	Other	6568747
Berit Block	Chief legal officer	1 Oct 2015	Other	6568747
Brian Edward Binder	President	1 May 2016	Other	2466834
Paul H Schubert	President	1 Nov 2017	Other	2380428
Hepsen Uzcan	President, director and chairperson	1 Jun 2018	Other	6985581
Thomas Howard Rice	Chief legal officer	1 Sep 2018	Other	7033884

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Deutsche Bank Ag	Indirect owner	1 Jun 1999	75% - 100%	13-2944988
Db Usa Corporation	Indirect owner	1 Jun 1999	75% - 100%	13-4060471
Taunus Corporation	Indirect owner	1 Jun 1999	75% - 100%	13-4060471

Based in New York

The principal office where Db Investment Managers, Inc performs its advisory services is located at 345 Park Avenue, New York, NY 10154, 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 212-454-6260. The normal business hours are 9:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at deawm.com.