Rothschild & Co Asset Management Us Inc. (New York)

Name: Rothschild & Co Asset Management Us Inc.
Address: 1251 Ave Of The Americas, New York, NY, 10020
Telephone: 212-403-3500

Rothschild & Co Asset Management Us Inc. is a large advisory firm based in New York. It manages $8.26 billion of regulatory assets for 1,589 client accounts. It has been registered with the SEC as an adviser since 2019 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

Rothschild & Co Asset Management Us provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Rothschild & Co Asset Management Us: assets under management

The assets under management (AUM) of Rothschild & Co Asset Management Us Inc. is $8.26 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 0% since the beginning of its operation, and $499.03 million of the total AUM is attributable to clients outside of the United States.

The firm manages $8.26 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $5.2 million each.

Rothschild & Co Asset Management Us has custody of $394.9 million in cash and securities for 4 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 97% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 2% of the firm’s portfolio. Investments in state and local bonds form 1% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rothschild & Co Asset Management Us 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.

What kind of clients James Manuel Neissa serves?

The firm provides services to individuals, investment companies, charitable organizations, high net worth individuals, pooled investment vehicles, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of James Manuel Neissa is pension and profit sharing plans with 78 clients and $3.22 billion of assets under management. Among the 6 most similar advisory firms, Rothschild & Co Asset Management Us has the highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $8.18 billion for 1,585 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 2% of the firm’s clients are foreign persons or businesses.

Rothschild & Co Asset Management Us also advises several private funds. Namely, four other private funds. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at Rothschild & Co Asset Management Us Inc.

The company employs 42 people that are either part- or full-time employees. 36 percent of the employees work as investment advisers or researchers. No 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 compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

James Manuel Neissa has been acting as President since 1 Oct 2018. Concordia Holding Sarl joined the executive team most recently as the Shareholder.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Rothschild & Co North America Inc.	Parent of applicant	1 Dec 1987	75% - 100%	13-3438524
John Murray Carroll	Director and general counsel of rothschild & co north america inc	1 Dec 2013	Other	2605675
Dina Victorovna Clements	Chief compliance officer	1 Oct 2015	Other	5903688
Gary Alan Powell	Director and chairman of the board	1 Jun 2016	Other	5975099
James Manuel Neissa	Director	1 Oct 2018	Other	2142240
Lee Antoine Lebrun	Director	1 Oct 2018	Other	1896376
Kathryn Maginnis Orozco	Chief operating officer and head of risk management	1 Oct 2018	Other	3178329
Tina Jones	Director, chief investment officer and head of asset management us	1 Apr 2019	Other	4388484

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Rothschild & Co Continuation Holdings Ag	Shareholder, common voting	1 Jul 2003	75% - 100%	foreign
Paris Orleans Holding Bancaire Sas	Shareholder	1 Jan 2008	75% - 100%	foreign
Rothschild & Co (Formerly Known As Paris Orleans Sca)	Shareholder	1 Jan 2008	75% - 100%	foreign
Rothschild & Co Concordia Sas	Shareholder	1 Jan 2008	25% - 50%	foreign
Paris Orleans Holding Bancaire Sas	Shareholder	1 Jun 2012	25% - 50%	00-0000000
Concordia Holding Sarl	Shareholder	1 Jun 2019	50% - 75%	foreign

Based in New York

The principal office where Rothschild & Co Asset Management Us Inc. performs its advisory services is located at 1251 Ave Of The Americas, New York, NY 10020, 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 212-403-3500 or by fax 212-403-5515. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at rothschildandco.com/en/asset-management/active-management-expertise/.