Carlin Asset Management, LLC (New York)

Carlin Asset Management, LLC is an adviser based in New York. It manages $21.5 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2005.

Carlin Asset Management provides portfolio management for investment companies and 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.

Carlin Asset Management: assets under management

The assets under management (AUM) of Carlin Asset Management, LLC is $21.5 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $21.5 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $10.75 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Carlin Asset Management, 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.

Careers at Carlin Asset Management, LLC

Sachin A Shah has been acting as President since 1 Dec 2005. Lynda Ann Kornfeld joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Daniel George Viola	General counsel/managing director	1 Dec 2005	Other	3084348
Sachin A Shah	President	1 Dec 2005	Other	4230659
Carlin Group Llc	Broker dealer	1 Dec 2005	75% - 100%	16-1736707
Lynda Ann Kornfeld	Chief compliance officer	1 Feb 2006	Other	3162347
Sachin A Shah	Chief operating officer	1 Apr 2006	Other	4230659
Jeremy Phillip Frommer	Ceo	1 Apr 2006	Other	2099159
Ronald Henry Shear	President	1 Apr 2006	50% - 75%	420846
Rbc Usa Holdco Corp.	Owner	1 Jan 2007	75% - 100%	20-0563684
Rbc Usa Holdco Corporation	Owner	1 Jan 2007	75% - 100%	20-0563684
Stuart Mitchell Nemesure	Chief compliance officer	1 Feb 2007	Other	2015737
Lynda Ann Kornfeld	Chief compliance officer	1 May 2007	Other	3162347

Indirect Owners

The SEC currently registers 11 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Royal Bank Of Canada	Shareholder	1 Jan 2001	75% - 100%	13-5357855
Royal Bank Holding Inc.	Sahreholder	1 Aug 2002	75% - 100%	89-7712238
Rbc Holdings (Usa) Inc.	Shareholder	1 Dec 2003	75% - 100%	13-3237290
Jeremy Phillip Frommer	Unit holder/member/coo	1 Jun 2005	50% - 75%	2099159
Ronald Henry Shear	Shareholder	1 Jan 2006	50% - 75%	420846
Carlin Owners Corp	Majority unit holder	1 Jan 2006	50% - 75%	13-3499274
Llc. Jsa	Unit holder	1 Jan 2006	Other	16-1732734
Llc Nextgen Trading	Unit holder	1 Jan 2006	Other	37-1436690
Jeremy Phillip Frommer	Unit holder	1 Jan 2006	25% - 50%	2099159
Samuel H Bernstein	Unit holder	1 Jan 2006	25% - 50%	2183676
Alan Scott Portnoi	Shareholder	1 Jan 2006	25% - 50%	1537825

Based in New York

The principal office where Carlin Asset Management, LLC performs its advisory services is located at 666 Third Avenue, New York, NY 10017, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 212-905-5700 or by fax 212-905-5751. The normal business hours are 9 am - 5 pm on Monday - Friday.