A.P. Management Company, LLC (New York)


A.P. Management Company, LLC is a large advisory firm based in New York. It manages $173.44 million of regulatory assets for 8 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdiction of New York.

A.P. Management Company provides portfolio management for investment companies, portfolio management for pooled investment vehicles, 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.

A.P. Management Company: assets under management

The assets under management (AUM) of A.P. Management Company, LLC is $173.44 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -79% since the beginning of its operation, and $84.77 million of the total AUM is attributable to clients outside of the United States.

The firm manages $173.44 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $21.68 million each.
A.P. Management Company has custody of $1.44 billion in cash and securities for 5 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay A.P. Management Company, LLC 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 Joseph Stanley Pignatelli serves?

The firm provides services to investment companies and pooled investment vehicles. The largest group of clients of Joseph Stanley Pignatelli is pooled investment vehicles with 7 clients and $172.77 million of assets under management. Among the 6 most similar advisory firms, A.P. Management Company has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $173.44 million for 8 clients. 38% of the firm’s clients are foreign persons or businesses.

A.P. Management Company also advises several private funds. Namely, five hedge funds. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at A.P. Management Company, LLC

The company employs 4 people that are either part- or full-time employees. 25 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.

Joseph Stanley Pignatelli has been acting as President since 1 Jul 2001. Mark Powers Smith joined the executive team most recently as the Deputy Portfolio Manager/Member.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Alfred James Shuman Principal/chief executive officer/member 1 May 1996 25% - 50% 422994
Stephanie Jane Shuman Member 1 May 1996 25% - 50% 4952550
Andrew Jay Small Chief financial officer 1 May 1996 Other 1750579
Stephanie J Shuman Member 1 May 1996 Other 4952550
Andrew J Small Chief financial officer 1 May 1996 Other 1750579
Joseph Stanley Pignatelli President/member 1 Jul 2001 Other 1205995
Maxce Llc Member 1 Jan 2005 Other 22-3705982
David Raymond Parker Chief operating officer/member 1 Jan 2005 Other 4952558
Stanley S. Shuman Revocable Trust Member 1 Jan 2005 Other xxx-xx-xxxx
Stanley Saxe Shuman Member 1 Jan 2005 Other 423010
Richard B Nye Member 1 Jan 2005 Other 2172693
David R Parker Chief operating officer/chief compliance officer 1 Jan 2005 Other 4952558
Richard Barry Nye Member 1 Jan 2005 Other 2172693
The Stephanie Shuman 2005 Grat Trust U/A Dtd 11/01/2005 Member 1 Nov 2005 Other xxx-xx-xxxx
Steven Kotler Member 1 Jan 2006 Other 274344
Steven (Nmn) Kotler Member 1 Jan 2006 Other 274344
L.P. Kotler Family Partnership Member 1 Dec 2007 Other 26-1663909
John Calvert Marshall Member 1 Jan 2010 Other 1050095
Alfred J. Shuman 2010 Grat Member 1 Jul 2010 Other 35-6858671
The Abby Shuman 2005 Remainder Trust Member 1 Nov 2010 Other 35-6876035
Colin Mccabe 2010 Remainder Trust Member 1 Jan 2011 Other 35-6858663
Richard B Nye Revocable Trust Agreement #2 Member 1 Jan 2012 Other 99-9999999
Rinarisa Coronel Defronze Chief compliance officer/general counsel 1 May 2013 Other 6193629
Baker Nye Advisers Inc. Member 1 Jun 2014 Other 13-3327906
Mark Powers Smith Deputy portfolio manager/member 1 Jul 2015 Other 3083267

Indirect Owners

The SEC currently registers 14 indirect owners.

Name Entity Date acquired Ownership Employer ID
Stanley Saxe Shuman Managing member 1 Jan 2002 50% - 75% 423010
Sydney Roberts Shuman Managing member 1 Jan 2002 50% - 75% 4953484
Sydney Shuman Managing member 1 Jan 2002 50% - 75% 4953484
Alfred James Shuman Trustee 1 Nov 2005 Other 422994
Stephanie Jane Shuman Beneficial owner 1 Nov 2005 75% - 100% 4952550
Steven Kotler Limited partner 1 Dec 2007 75% - 100% 274344
Carolyn Miller Kotler General partner 1 Dec 2007 Other 5785726
Steven (Nmn) Kotler Limited partner 1 Dec 2007 75% - 100% 274344
Stanley Saxe Shuman Trustee and beneficiary 1 May 2009 75% - 100% 423010
Stephanie Jane Shuman Trustee 1 Jun 2010 Other 4952550
Alfred James Shuman Trustee 1 Jul 2010 75% - 100% 422994
Richard Barry Nye Trustee 1 Jan 2012 75% - 100% 2172693
Rbn Trust Sole shareholder 1 Jun 2014 75% - 100% 99-9999999
Richard Barry Nye Trustee 1 Jun 2014 75% - 100% 2172693

Based in New York

The principal office where A.P. Management Company, LLC performs its advisory services is located at 450 Park Avenue, New York, NY 10022, 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 212-201-0500 or by fax 212-661-9009. The normal business hours are 8:30 a.m. - 6:00 p.m. on Monday - Friday. You can find more information about the New York firm at archstonepartners.com.