Linsco/Private Ledger Corp. (Boston)

Name: Linsco/Private Ledger Corp.
Address: One Beacon Street, Boston, MA, 02108 3106
Telephone: 617-423-3644

Linsco/Private Ledger Corp. is a large advisory firm based in Boston. It manages $45.85 billion of regulatory assets for 191,286 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Linsco/Private Ledger Corp provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and pension consulting services. It prepares financial plans for approximately 3,000 clients. On top of advisory services, the firm doesn't engage in other business activities.

Linsco/Private Ledger Corp: assets under management

The assets under management (AUM) of Linsco/Private Ledger Corp. is $45.85 billion. The firm's AUM has grown by 205% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $44.61 billion in discretionary accounts and $1.23 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $238.3 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $302.66 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Linsco/Private Ledger Corp. 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 Linsco/Private Ledger Corp.

Roderick Arnold Robinson has been acting as President since 1 Apr 1989. Denise Maroon Abood joined the executive team most recently as the Managing Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Todd Anthony Robinson	Ceo,cob,director	1 Apr 1989	Other	729532
Inc. Lpl Holdings	Parent company	1 Apr 1989	75% - 100%	04-3046611
David Homer Butterfield	Coo, president, director	1 Apr 1989	Other	1596461
Roderick Arnold Robinson	Director	1 Apr 1989	Other	402209
Stephanie Leigh Brown	Clo, managing director	1 Dec 1989	Other	1973369
Mark George Lopez	Managing director	1 Dec 1991	Other	732030
James Steven Putnam	Managing director	1 Dec 1991	Other	704716
Karen Forslund	Managing director	1 Dec 1991	Other	1027556
Karen Forslund Lare	Managing director	1 Dec 1991	Other	1027556
Donna Lynne Houston Nauss	Vice president	1 Jun 1992	Other	1197387
Esther Marion Stearns	Chief information officer, managing director	1 Jul 1996	Other	1088948
David Wendall Collett	Cfo	1 Jun 1997	Other	2352407
Steven Mark Black	Senior vice president	1 Oct 1998	Other	1093245
Lincoln Forest Anderson	Cheif investment officer, managing director	1 May 1999	Other	3244339
James Francis Mcguire	Cco, srop, crop, senior vice president	1 Oct 1999	Other	1270549
Jeffrey Scott Hansen	Managing director	1 Dec 2000	Other	4160797
Steven Mark Black	Managing director	1 Jul 2001	Other	1093245
Mark Stephen Casady	Chief operating officer	1 May 2002	Other	2313239
William Edward Iii Dwyer	Managing director	1 Jan 2004	Other	1274680
David Robert Kimm	Cfo	1 Jan 2004	Other	722941
Joseph Paul Tuorto	Senior vice president, head of compliance	1 Mar 2004	Other	1006249
Esther Marion Stearns	Coo, cio, managing director	1 Jul 2004	Other	1088948
David Robert Kimm	Cfo, executive vice president	1 Jul 2004	Other	722941
Joseph Paul Tuorto	Executive vice president, head of compliance	1 Jul 2004	Other	1006249
Todd Anthony Robinson	Cob,director	1 Aug 2004	Other	729532
Mark Stephen Casady	Ceo, president	1 Aug 2004	Other	2313239
Donna Lynne Houston Nauss	Cco - advisory, vice president	1 Oct 2004	Other	1197387
James Francis Mcguire	Cco - brokerage, srop, crop, senior vice president	1 Oct 2004	Other	1270549
Esther Marion Stearns	Coo, cfo, chief information officer, managing director	1 Dec 2004	Other	1088948
Joseph Paul Tuorto	Cco - brokerage, executive vice president	1 Dec 2004	Other	1006249
James Richard Ongkeko Federis	Crop, srop	1 Dec 2004	Other	2588905
Joseph Paul Tuorto	Cco - brokerage, managing director, crop, srop	1 Jan 2005	Other	1006249
Charles William Maher	Chief financial officer	1 Apr 2005	Other	2085378
James Steven Putnam	Vice chairman	1 Jul 2005	Other	704716
Esther Marion Stearns	Coo	1 Jul 2005	Other	1088948
Andrew James Duggan	Chief information officer	1 Jul 2005	Other	4600781
Mark Stephen Casady	Ceo, president, cob	1 Dec 2005	Other	2313239
Jeffrey A Goldstein	Director	1 Dec 2005	Other	xxx-xx-xxxx
Douglas Marshall Haines	Director	1 Dec 2005	Other	xxx-xx-xxxx
Allen Thorpe	Director	1 Dec 2005	Other	xxx-xx-xxxx
Richard Paul Schifter	Director	1 Dec 2005	Other	xxx-xx-xxxx
Donna Lynne Houston Nauss	Cco - advisory, senior vice president	1 Jan 2006	Other	1197387
Charles William Maher	Chief financial officer, managing director	1 Jan 2006	Other	2085378
Steven Mark Black	Managing director, chief risk officer	1 May 2006	Other	1093245
Gina Cannella	Managing director	1 Jan 2007	Other	2825005
Rochelle Lea Putnam	Managing director	1 Jan 2007	Other	1328592
Leon Lee	Managing director	1 Jan 2007	Other	2843597
Esther Marion Stearns	Chief operating officer, president	1 Mar 2007	Other	1088948
Henry Jr. Sanchez	Chief compliance officer - brokerage	1 Jul 2007	Other	4711576
Robert Caires	Srop	1 Jul 2007	Other	1987326
Traci Lynn Tarpy	Crop	1 Jul 2007	Other	4321192
Dan Hogan Jr Arnold	Managing director	1 Aug 2007	Other	2557410
Patricia Ann Ross	Crop	1 Nov 2007	Other	717926
George Burton White	Managing director, head of research	1 Nov 2007	Other	3057759
Denise Maroon Abood	Managing director	1 Jan 2008	Other	4763124
Jonathan Galen Eaton	Managing director	1 Jan 2008	Other	1433091

Indirect Owners

The SEC currently registers 13 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Todd Anthony Robinson	Shareholder - class a common stock	1 Dec 1989	75% - 100%	729532
Inc. Bd Investment Holdings	Principal stockholder	1 Dec 2005	75% - 100%	04-3046611
David Bonderman	Stockholder	1 Dec 2005	25% - 50%	xxx-xx-xxxx
James G. Coulter	Stockholder	1 Dec 2005	25% - 50%	xxx-xx-xxxx
L.P. Hellman & Friedman Capital Partners V	Stockholder	1 Dec 2005	25% - 50%	01-0818590
Llc. Hellman & Friedman Investors V	General partner	1 Dec 2005	Other	01-0818596
Iii William S. Price	Stockholder	1 Dec 2005	25% - 50%	xxx-xx-xxxx
Inc. Tpg Advisors Iv	General partner	1 Dec 2005	Other	20-0348083
L.P. Tpg Genpar Iv	General partner	1 Dec 2005	Other	20-0347947
L.P. Tpg Partners Iv	Stockholder	1 Dec 2005	25% - 50%	20-0347894
Inc. Lpl Investment Holdings	Principal stockholder	1 Dec 2005	75% - 100%	04-3046611
David Nmi Bonderman	Stockholder	1 Dec 2005	50% - 75%	xxx-xx-xxxx
James George Coulter	Stockholder	1 Dec 2005	50% - 75%	xxx-xx-xxxx

Based in Boston

The principal office where Linsco/Private Ledger Corp. performs its advisory services is located at One Beacon Street, Boston, MA 02108 3106 The mailing address of the firm is P.O. Box 509029, San Diego, CA 92150 9029. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 617-423-3644 or by fax 617-556-2811. The normal business hours are 8:30am - 6:00pm on Monday - Friday. You can find more information about the New York firm at www.lpl.com.