Pefin Advisors LLC (New York)

Name: Pefin Advisors LLC
Address: 360 Madison Avenue, New York, NY, 10017
Telephone: 917-464-5302

Pefin Advisors LLC is an internet adviser based in New York. It manages $4.75 thousand of regulatory assets for 8 client accounts. It has been registered with the SEC as an adviser since 2015 and has operated in the jurisdictions of New Jersey, New York, and Texas.

Pefin Advisors provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Pefin Advisors: assets under management

The assets under management (AUM) of Pefin Advisors LLC is $4.75 thousand, all of which is managed in discretionary accounts. The company doesn't manage any assets belonging to foreign clients.

The firm manages $4.75 thousand in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $593.25 each.

Investments

The firm invests in exchange traded securities the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Pefin Advisors LLC 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 Pefin Advisors serves?

The only and largest group of clients of Pefin Advisors is individuals with 8 clients and $4.75 thousand of assets under management. Among the 1 most similar advisory firms, Pefin Advisors has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $4.75 thousand for 8 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Pefin Advisors doesn't advise any private funds.

Careers at Pefin Advisors LLC

The company employs 3 people that are either part- or full-time employees. 67 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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc Pefin	Sole member	1 Dec 2011	75% - 100%	61-1632170
Catherine Anne Flax Kosecki	Cco	1 Jul 2017	Other	3068786

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Ramya Joseph	Shareholder	1 Mar 2015	50% - 75%	4821246
Piccadilly Holdings Llc	Owner	1 Oct 2015	50% - 75%	47-5447540
Pefin Holdings Llc	Owner	1 Oct 2015	50% - 75%	47-5447540

Based in New York

The principal office where Pefin Advisors LLC performs its advisory services is located at 360 Madison Avenue, New York, NY 10017, 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 917-464-5302 or by fax 917-201-3959. The normal business hours are 10:00a-7:00p on Monday - Friday. You can find more information about the New York firm at pefin.com.