Santander Investment Securities Inc. (New York)

Santander Investment Securities Inc. is a large advisory firm based in New York. It manages $1.67 billion of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2009.

Santander Investment Securities provides portfolio management for businesses and institutional clients and research. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Santander Investment Securities: assets under management

The assets under management (AUM) of Santander Investment Securities Inc. is $1.67 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 514% since the beginning of its operation, and $1.67 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $1.67 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.67 billion each.

Investments

The firm invests in sovereign bonds the most. They account for 70% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 30% of the firm’s portfolio.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Santander Investment Securities Inc. for their services and products based on fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Rodolfo Eduardo Icaza serves?

The only and largest group of clients of Rodolfo Eduardo Icaza is banking or thrift institutions with 1 clients and $1.67 billion of assets under management. Among the 8 most similar advisory firms, Santander Investment Securities has the highest percentage of banking or thrift institutions out of all clients.

The amount of regulatory assets under management is $1.67 billion for 1 clients. None of the firm’s clients are foreign persons or businesses.

Santander Investment Securities doesn't advise any private funds.

Careers at Santander Investment Securities Inc.

The company employs 160 people that are either part- or full-time employees. 6 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.

Rodolfo Eduardo Icaza has been acting as President since 1 Nov 1999. Felix Munoz Elorza joined the executive team most recently as the Chief Financial Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
S.A. Santander Investment I	Direct owner	1 Jul 1994	75% - 100%	foreign
Chandra Vanessa Boyle	Chief financial officer	1 May 1999	Other	2260731
Gonzalo De Las Heras	Director; chairman, board of directors	1 Nov 1999	Other	4236520
Rodolfo Eduardo Icaza	Director	1 Nov 1999	Other	3234866
James Howard Bathon	Chief legal officer and general counsel	1 Jan 2003	Other	4705031
Adolfo Lagosespinosa	Director	1 Jul 2003	Other	4687819
Adolfo Lagos Espinosa	Director (member of board of directors)	1 Jul 2003	Other	4687819
Jose A Aguirre	Director	1 Jun 2007	Other	5421112
Jose Pedreira	Director	1 Sep 2007	Other	5431587
William Aloysius Delaney	Chief compliance officer	1 Feb 2008	Other	1574224
Ignacio Mendive	President and chief executive officer; member, board of directors (director)	1 May 2008	Other	3261272
Jose Castello	Director	1 May 2008	Other	5552844
Jose De Menezes Berenguer Neto	Director	1 May 2008	Other	3023770
Francisco De Lera	Director; vice chairman, board of directors	1 May 2008	Other	5553934
Joaquin Quirante	Director	1 May 2008	Other	5561789
Silvia Ruiz Barcelo	Director (member of board of directors)	1 Jun 2009	Other	5741303
Richard Ro	Chief financial officer	1 Feb 2011	Other	4177424
Joaquin Quirante	Chairman, board of directors	1 Aug 2011	Other	5561789
Jorge Luis Degortari	Member, board of directors (director)	1 Aug 2011	Other	2998985
Sergio Lew	Member, board of directors (director)	1 Aug 2011	Other	5715171
Francisco Sempere Entrambasaguas	Member, board of directors (director)	1 Aug 2011	Other	5980130
Javier Fonseca Viader	Member, board of directors (director)	1 Aug 2011	Other	5985105
Federico Papa Laens	Member, board of directors (director)	1 Jun 2012	Other	6093180
Adolfo Lagos	Member, board of directors (director)	1 Jun 2012	Other	4687819
Richard A. Jr. Toomey	Member, board of directors (director)	1 Jun 2012	Other	1842996
Juan Andres Yanes Luciani	Member, board of directors (director)	1 Jun 2012	Other	6093217
Jose Castello	Member, board of directors (director)	1 Jun 2012	Other	5552844
Juan Verde	Member, board of directors (director)	1 Jun 2012	Other	6093594
Jorge Moran Sanchez	Chairman, board of directors (director)	1 Jun 2012	Other	6104857
Sergio Lew	Member, board of directors (director)	1 Oct 2012	Other	5715171
Juan Antonio Minuesa Asensio	Member, board of directors (director)	1 Dec 2013	Other	6251643
Alberto Alonso Sanchez	Member, board of directors (director)	1 Dec 2013	Other	2582057
Luis Paulo De Sousa	Member, board of directors (vice chairman/director)	1 Dec 2013	Other	6251963
Roman Blanco	Member, board of directors (chairman/director)	1 Dec 2013	Other	6138302
Arnold Paul Kaufman	Chief financial officer	1 Feb 2015	Other	1852303
Gonzalo De Las Heras	Member, board of directors (director)	1 Dec 2015	Other	4236520
Javier Maldonado	Member, board of directors (director)	1 Dec 2015	Other	6605973
Xavier Ruiz Sena	Member, board of directors (director)	1 Dec 2015	Other	6604860
John Hennessy	Member, board of directors (director)	1 Dec 2015	Other	6606078
William Joel Rainer	Chairman, board of directors (director)	1 Dec 2015	Other	370271
Juan Antonio Minuesa Asensio	Chief executive officer	1 Jan 2016	Other	6251643
S.A. Banco Santander	Direct owner	1 Apr 2016	75% - 100%	13-2617929
Roberto Campos	Member, board of directors (non-employee director)	1 Jun 2016	Other	6774591
Inc. Santander Holdings Usa	Direct owner	1 Jul 2016	75% - 100%	23-2453088
Alan Henry Fishman	Member, board of directors (board chairman; non-employee director)	1 Mar 2017	Other	1807522
Michael Lipsitz	Member, board of directors (non-employee director)	1 Jun 2017	Other	6819051
Marco Antonio Achon Tunon	Member, board of directors	1 Oct 2017	Other	4062552
Robert Christopher Rubino	Member, board of directors (non-employee director)	1 Feb 2018	Other	5240148
Marco Antonio Achon Tunon	President and chief executive officer; member, board of directors	1 Apr 2018	Other	4062552
Hector Blas Grisi Checa	Member, board of directors (non-employee director)	1 Nov 2018	Other	7056072
Hongmei Zhu	Chief financial officer	1 Dec 2018	Other	6924478
Yuan Pei Mao	Chief compliance officer	1 May 2019	Other	1288447
Felix Munoz Elorza	Chief financial officer	1 Jul 2019	Other	7070416

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
S.A. Banco Santander	Indirect owner	1 Jul 1994	75% - 100%	foreign

Based in New York

The principal office where Santander Investment Securities Inc. performs its advisory services is located at 45 East 53 Rd Street, New York, NY 10022 4604, 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 212-407-7812 or by fax 212-407-7870. The normal business hours are 8am - 6pm on Monday - Friday.