Dominick & Dominick Advisors LLC (New York)

Name: Dominick & Dominick Advisors LLC
Address: 150 East 52 Nd Street, 3 Rd Floor, New York, NY, 10022
Telephone: 212-558-8800

Dominick & Dominick Advisors LLC is a large advisory firm based in New York. It manages $25.09 million of regulatory assets for 43 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Connecticut, New Jersey, and New York.

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

Dominick & Dominick Advisors: assets under management

The assets under management (AUM) of Dominick & Dominick Advisors LLC is $25.09 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -96% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $25.09 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $583.56 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Dominick & Dominick Advisors LLC for their services and products based on a percentage of assets under management, 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 Dominick & Dominick Advisors LLC

Paul Lyons Kennedy has been acting as President since 1 Mar 2000. Dda Ownership Llc joined the executive team most recently as the Shareholder.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Dominick & Dominick Llc	Shareholder	1 Oct 1998	75% - 100%	7344
Thomas Anthony Masi	President	1 Nov 1998	Other	861675
Paul Lyons Kennedy	Chairman/chief executive officer	1 Mar 2000	Other	1829944
Roseann Tagnani Cook	Chief operating officer	1 Mar 2000	Other	2610862
Karen Hager	Compliance director	1 Mar 2000	Other	4360272
Saverio Palazzolo	Director of operations	1 Apr 2000	Other	4360281
Dda Ownership Llc	Shareholder	1 Oct 2002	75% - 100%	pending
Dda Ownership Llc	Shareholder	1 Dec 2002	75% - 100%	47-0901728

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Dominick & Dominick Incorporated	Indirect beneficial owner	1 Jun 1993	75% - 100%	13-4023549
Peter Maximus Kennedy	Indirect beneficial owner	1 Jun 1993	25% - 50%	267860
Marie Elizabeth Kennedy	Indirect beneficial owner	1 Jun 1993	25% - 50%	1830071
1870 Corp	Indirect beneficial owner	1 Oct 2002	75% - 100%	13-3130342

Based in New York

The principal office where Dominick & Dominick Advisors LLC performs its advisory services is located at 150 East 52 Nd Street, 3 Rd Floor, 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 212-558-8800. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at www.dominickanddominick.com.