Ota Advisors LLC (Purchase)

Ota Advisors LLC is a large advisory firm based in Purchase. It manages $45.79 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdiction of New York.

Ota Advisors 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.

Ota Advisors: assets under management

The assets under management (AUM) of Ota Advisors LLC is $45.79 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 20% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $45.79 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $15.26 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ota Advisors LLC 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 Ota Advisors LLC

Steven Todd Ruoff has served as the Chief Investment Officer since 1 Jul 2003. John Arthur Hanratty joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Ota Asset Management Llc	Managing member	1 Jul 2003	75% - 100%	59-3770400
James William Santori	Chief financial officer	1 Jul 2003	Other	1567697
Steven Todd Ruoff	Chief investment officer	1 Jul 2003	Other	4496832
Richard Scott Jaffe	Compliance officer	1 Jul 2003	Other	2433314
John Arthur Hanratty	Chief compliance officer	1 Jul 2005	Other	4138174

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Ira Mark Leventhal	Sole shareholder/director	1 Aug 1987	75% - 100%	827983
Iml Corporation	General partner	1 Sep 1995	25% - 50%	13-3424954
Ira Mark Leventhal	Limited partner	1 Jan 1998	25% - 50%	827983
Abota Llc	General partner	1 Jul 1999	Other	13-4078071
Lmi Limited Corporation	Managing member	1 Jul 1999	25% - 50%	13-3854022
Ota Financial Group Lp	Managing member	1 Apr 2003	75% - 100%	13-4018069

Based in Purchase

The principal office where Ota Advisors LLC performs its advisory services is located at 1 Manhattanville Road, Purchase, NY 10577, 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 914-694-4066 or by fax 914-694-6341. The normal business hours are 9-5 on Monday - Friday.