Db Investment Managers, Inc (New York)


Db Investment Managers, Inc is a related adviser based in New York. It manages $5.2 million of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Delaware and New York.

Db Investment Managers provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Db Investment Managers: assets under management

The assets under management (AUM) of Db Investment Managers, Inc is $5.2 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -100% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $5.2 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.3 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Db Investment Managers, Inc for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Bernard Louis Abdo serves?

The only and largest group of clients of Bernard Louis Abdo is pooled investment vehicles with 4 clients and $5.2 million of assets under management. Among the 1 most similar advisory firms, Db Investment Managers has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $5.2 million for 4 clients. None of the firm’s clients are foreign persons or businesses.

Db Investment Managers also advises several private funds. Namely, two hedge funds. The minimum investment commitment required of non-related persons ranges from $50,000 to $250,000.

Careers at Db Investment Managers, Inc

The company employs 3 people that are either part- or full-time employees. 33 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.

Bernard Louis Abdo has been acting as President since 1 Mar 2014. Thomas Howard Rice joined the executive team most recently as the Chief Legal Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Deutsche Bank Trust Corporation Direct owner 1 Nov 1972 75% - 100% 13-2944988
Anthony Conte Chief compliance officer 1 Oct 2003 Other 3229954
Pamela Ann Kiernan Chief operating officer, director 1 Sep 2005 Other 2707768
Steven L. Bossi President and chief executive officer 1 Oct 2006 Other 4914431
John Kim Chief legal officer 1 Feb 2007 Other 4519341
William Greene Chief financial officer 1 Mar 2007 Other 5305007
Charles Pirao Director 1 Mar 2007 Other 5305736
Charles Pirao Director and chief operating officer 1 Jun 2007 Other 5305736
John S Pak Chief legal officer 1 Mar 2008 Other 3226458
Jennifer Marie Birmingham Chief financial officer 1 Jan 2009 Other 5079411
Pamela Ann Kiernan Chief operating officer 1 Jan 2009 Other 2707768
Bart Alexander Grenier Director and president 1 Feb 2009 Other 4451384
Adam Brett Joffe Director 1 Feb 2009 Other 2413671
Adam Brett Joffe Chief operating officer 1 Oct 2009 Other 2413671
John Russell Nolan Chief executive officer 1 Oct 2009 Other 1334244
Kevin Clancy Chief operating officer 1 Aug 2010 Other 2529419
Francine Legaspi Chief financial officer 1 Aug 2010 Other 5832697
Nancy L. Swift Chief compliance officer 1 Oct 2010 Other 4453281
Jason Scott Rein Chief compliance officer 1 Jul 2011 Other 2824668
Stephanie K. Meth Chief legal officer 1 Jul 2012 Other 6101301
Paul David Blodgett Chief operating officer and director 1 Sep 2012 Other 5428466
Michael John Woods Chief executive officer 1 Oct 2012 Other 2075819
Paul David Blodgett Chief operating officer 1 Oct 2012 Other 5428466
Robin Osterdahl Berger Chief compliance officer 1 Nov 2012 Other 1868959
Toni Anne Stapleton Chief financial officer 1 Apr 2013 Other 2424327
Jennifer Murphy Cattier Chief legal officer 1 Dec 2013 Other 4175467
Cattier Jennifer Chief legal officer 1 Dec 2013 Other 4175467
Bernard Louis Abdo President 1 Mar 2014 Other 4711215
Michele Valenti Chief operations officer 1 Apr 2014 Other 2934857
Nancy Lee Tanzil Chief financial officer and treasurer 1 Jun 2014 Other 2207396
Paul David Blodgett Chief operations officer, director 1 Jul 2014 Other 5428466
Michelle Sharon Goveia Chief compliance officer 1 Oct 2014 Other 2860014
Nancy Lee Tanzil Chief financial officer 1 Jun 2015 Other 2207396
Berit Block Chief legal officer 1 Sep 2015 Other 6568747
Berit Block Chief legal officer 1 Oct 2015 Other 6568747
Brian Edward Binder President 1 May 2016 Other 2466834
Paul H Schubert President 1 Nov 2017 Other 2380428
Hepsen Uzcan President, director and chairperson 1 Jun 2018 Other 6985581
Thomas Howard Rice Chief legal officer 1 Sep 2018 Other 7033884

Indirect Owners

The SEC currently registers 3 indirect owners.

Name Entity Date acquired Ownership Employer ID
Deutsche Bank Ag Indirect owner 1 Jun 1999 75% - 100% 13-2944988
Db Usa Corporation Indirect owner 1 Jun 1999 75% - 100% 13-4060471
Taunus Corporation Indirect owner 1 Jun 1999 75% - 100% 13-4060471

Based in New York

The principal office where Db Investment Managers, Inc performs its advisory services is located at 345 Park Avenue, New York, NY 10154, 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 212-454-6260. The normal business hours are 9:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at deawm.com.