Keefe Managers, LLC (New York)


Keefe Managers, LLC is a large advisory firm based in New York. It manages $120 million of regulatory assets for 6 client accounts. It has been registered with the SEC as an adviser since 2002.

Keefe Managers provides market timing 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.

Keefe Managers: assets under management

The assets under management (AUM) of Keefe Managers, LLC is $120 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -12% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $120 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $20 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Keefe Managers, LLC for their services and products based on a percentage of assets under management and performance-based fees. 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.

Indirect Owners

The SEC currently registers 4 indirect owners.

Name Entity Date acquired Ownership Employer ID
Penson Worldwide Inc Sole shareholder 1 Sep 2000 75% - 100% 75-2896356
Inc. Gold Financial Services Sole stockholder 1 Dec 2000 75% - 100% 48-1240249
Gold Banc Corp. Sole stockholder 1 Dec 2000 75% - 100% 48-1008593
Kathleen K. Raffel Executrix 1 Mar 2002 Other 4517222

Based in New York

The principal office where Keefe Managers, LLC performs its advisory services is located at 375 Park Avenue, New York, NY 10152 0139, 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 212-754-2000 or by fax 212-754-2005. The normal business hours are 9:00 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at keefemanagers.com.