Aig Financial Advisors, Inc. (Phoenix)


Aig Financial Advisors, Inc. is a large advisory firm based in Phoenix. It manages $2.2 billion of regulatory assets for 11,665 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

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

Aig Financial Advisors: assets under management

The assets under management (AUM) of Aig Financial Advisors, Inc. is $2.2 billion. The firm's AUM has grown by 258% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $611.76 million in discretionary accounts and $1.59 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $137.51 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $219.71 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Aig Financial Advisors, Inc. for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Commissions are paid and earned by the adviser when a trade or a sales of an investment is made. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Aig Financial Advisors, Inc.

Mary Louise Cavanaugh has been acting as President since 1 Sep 2004. James Burke Brown joined the executive team most recently as the Senior Vice President National Sales.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
James Richard Cannon President, ceo, director 1 Sep 2004 Other 1755987
Aig Advisor Group 100% shareholder 1 Sep 2004 75% - 100% 86-0623854
Lisa Sue Kubica E.v.p., coo, srop, mp 1 Sep 2004 Other 1098488
Christopher Blake Radford Executive vice president, national sales manager 1 Sep 2004 Other 1564302
Mary Louise Cavanaugh Director 1 Sep 2004 Other 1977110
Rita Lynn Sonchik V.p. accounting 1 Sep 2004 Other 1865389
Ralph Owen Jr Stauffer V.p. information technology 1 Sep 2004 Other 3255670
Michael Ronald Mcreynolds Assistant v.p. insurance 1 Sep 2004 Other 816602
Steven Elliot Rothstein E.v.p.,cfo, treasurer 1 Sep 2004 Other 1292456
Inger Wilson Fields Finop 1 Sep 2004 Other 1690043
Sally Hanson Bourdamis V.p., brokerage services 1 Sep 2004 Other 1812157
Jacquelyn Marie Capriotti V.p. vision 2020 1 Sep 2004 Other 1575021
Kenneth Paul Dorfman Crop 1 Sep 2004 Other 2460380
Lexi Miklos Karsay First vice president, customer service and commissions 1 Sep 2004 Other 2818575
Karen Elizabeth Stadjuhar V.p. branch supervision 1 Sep 2004 Other 1796248
Keith Windsor Johnson V.p. business development 1 Sep 2004 Other 1142260
Diane Schlissel Rosen Assistant v.p. director of investment research 1 Sep 2004 Other 2663205
Bridget Mary Gaughan E.v.p. general counsel, secretary 1 Sep 2004 Other 2691949
Susanne Marie Denby V.p., cco 1 Sep 2004 Other 2617514
Ralph Joel Parker Assistant vice president, insurance 1 Sep 2004 Other 2587496
Aig Advisor Group Inc. 100% shareholder 1 Sep 2004 75% - 100% 86-0623854
James Richard Smith Manager, national sales business analyst 1 May 2005 Other 2235774
Phillip Alden Hofling Vice president, legal 1 Sep 2005 Other 5032628
Lester Helm Vice president, education, training & marketing communications 1 Sep 2005 Other 4338004
Bruce Todd Freeman Associate vice president, director of trading, municipal principal 1 Sep 2005 Other 2451499
Lisa Elaine Bredeson Sr. vp, coo 1 May 2006 Other 1831538
Mark Daniel Lippman Crop 1 May 2006 Other 1022235
Clara Sierra Vp, investment advisory services 1 Jul 2006 Other 2034485
Susan Stalteri Vice president, branch supervision 1 Sep 2006 Other 1919110
Brett Anthony Ishler Vp, investment product & research 1 Oct 2006 Other 2668812
Michael Thomas Ii Ezzell Asst. vice president, investment research 1 Jul 2007 Other 4839534
John Henry Chitwood Crop 1 Sep 2007 Other 2083895
Jeri Michelle Harrell Assistant vice president, product sales and marketing 1 Sep 2007 Other xxx-xx-xxxx
Dave B Hauer Srop 1 Oct 2007 Other 4018434
Randy Epright Chief operating officer 1 Mar 2008 Other xxx-xx-xxxx
Jeffrey Michael Auld President, ceo 1 Jun 2008 Other 857528
Noah David Sorkin Senior vice president, general counsel 1 Jun 2008 Other 1832767
Ralph Lawrence Roth Director 1 Jul 2008 Other 1432179
Jerome John Murphy Director 1 Jul 2008 Other 2796596
James Burke Brown Senior vice president national sales 1 Oct 2008 Other 1664825

Indirect Owners

The SEC currently registers 6 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc. Sunamerica Investment Shareholder 1 Sep 1990 75% - 100% 52-1128427
Inc. Aig Retirement Services Shareholder 1 Jan 1999 25% - 50% 95-4715639
Inc. American International Group Shareholder 1 Jan 1999 75% - 100% 13-2592361
Sunamerica Life Insurance Shareholder 1 Jan 2004 50% - 75% 52-0502540
Inc. Aig Retirement Services Shareholder 1 Jan 2004 75% - 100% 95-4715639
Sunamerica Life Insurance Co. Shareholder 1 Jan 2004 50% - 75% 52-0502540

Based in Phoenix

The principal office where Aig Financial Advisors, Inc. performs its advisory services is located at 2800 North Central Avenue, Phoenix, AZ 85004, which is also the mailing address of the firm. An additional office of the firm is in Salem, OR. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 602-744-3000 or by fax 602-744-3225. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at www.aigfinancialadvisors.com.

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