Train, Babcock Advisors LLC (New York)

Name: Train, Babcock Advisors LLC
Address: 757 Third Avenue, New York, NY, 10017
Telephone: 212-451-3400

Train, Babcock Advisors LLC is a large advisory firm based in New York. It manages $434.13 million of regulatory assets for 558 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 31 other states.

Train, Babcock Advisors provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

Train, Babcock Advisors: assets under management

The assets under management (AUM) of Train, Babcock Advisors LLC is $434.13 million. The firm's AUM has gone down by -51% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $426.16 million in discretionary accounts and $7.97 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $767.86 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $2.66 million.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Train, Babcock 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.

Careers at Train, Babcock Advisors LLC

Henry Denison Babcock has been acting as President since 1 Jun 2004. Geraldine Hoffman joined the executive team most recently as the Managing Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
John Train	Member	1 Jul 1986	Other	448770
Henry Denison Babcock	Member	1 Jul 1986	Other	2211235
John Henry Rogicki	Co-managing member, managing director	1 Jan 1991	25% - 50%	2214393
John Rogicki	Member, managing director, chief compliance officer	1 Jan 1991	Other	2214393
Peter Joseph Hofbauer	Chief financial officer	1 May 1992	Other	4346443
L.P. Concord International Investments Group	Member	1 Jun 1992	Other	13-3443767
Pamela Lee White Raviol	Co-managing member, director, investment adviser representative	1 Dec 1995	Other	2393912
Isabel Collins	Member; director; investment adviser representative	1 Dec 1995	Other	2627611
Anthony Dick	Member, director, investment adviser representative	1 Dec 1995	Other	2408671
Brian John Keenan	Member, managing director	1 Feb 1997	Other	2204860
Neal B. Freeman	Chairman, board of advisers	1 Feb 2000	Other	4659808
John Andrew Skvarla	Chief financial officer	1 Feb 2003	Other	4644823
Henry Denison Babcock	Chairman	1 Jun 2004	Other	2211235
Brian John Keenan	Member, chief executive officer	1 Jun 2004	Other	2204860
Timothy Joseph Mcglinn	Member, senior research analyst	1 Jun 2005	Other	5061673
Diane Montague	Cio	1 Jan 2006	Other	4275334
Arthur C Tevletidis	Chief operations officer	1 Jan 2012	Other	4356456
Arthur C Tevletidis	Chief compliance officer	1 Apr 2012	Other	4356456
Geraldine Hoffman	Chief financial officer	1 Jan 2013	Other	6606568
John Henry Rogicki	Chief compliance officer	1 Apr 2014	25% - 50%	2214393
Arthur C Tevletidis	Chief compliance officer	1 Feb 2017	Other	4356456
Geraldine Hoffman	Managing director	1 Mar 2017	Other	6606568

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Mohamed Saleh Younes	President	1 Mar 1987	75% - 100%	805407
L.P. Concord International Holdings	Limited partner	1 Nov 1998	75% - 100%	13-4052773
Tk International Llc	General partner	1 Nov 2001	Other	13-4199821
T.K. International Corporation	Majority equity owner	1 Nov 2001	50% - 75%	13-3399183
Llc Tk International	General partner	1 Nov 2001	25% - 50%	13-4199821
T.K. Corporation	Limited partner	1 Nov 2001	25% - 50%	13-3399183

Based in New York

The principal office where Train, Babcock Advisors LLC performs its advisory services is located at 757 Third 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 212-451-3400 or by fax 212-371-1920. The normal business hours are 9:00a.m.-5:00p.m. on Monday - Friday. You can find more information about the New York firm at trainbabcock.com.