Cibc World Markets Corp. (New York)

Name: Cibc World Markets Corp.
Address: 425 Lexington Avenue, New York, NY, 10017
Telephone: 212-856-4000

Cibc World Markets Corp. is an adviser based in New York. It manages $691.75 thousand of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arkansas, and 46 other states.

Cibc World Markets Corp provides portfolio management for pooled investment vehicles and pension consulting services. It prepares financial plans for approximately 700 clients. On top of advisory services, the firm doesn't engage in other business activities.

Cibc World Markets Corp: assets under management

The assets under management (AUM) of Cibc World Markets Corp. is $691.75 thousand, 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 $691.75 thousand in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $691.75 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Cibc World Markets Corp. for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Cibc World Markets Corp.

Michael Gust Capatides has been acting as President since 1 Nov 1997. John William Kropf joined the executive team most recently as the Chief Operations Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Cibc World Markets Holdings Inc.	100% shareholder	1 Nov 1997	75% - 100%	13-3216517
Michael Gust Capatides	Director	1 Nov 1997	Other	2972940
Michael Schwartz	Senior rop	1 Nov 1997	Other	416378
Dean Caspar Kehler	Director, managing director	1 Mar 1998	Other	1373444
Michael John Neilson	Director, managing director	1 Mar 1998	Other	2598461
Seth Bradley Novatt	Director, managing director	1 Mar 1998	Other	1060342
Kyle Adam Permut	Director, managing director	1 Mar 1998	Other	1329830
William Paul Phoenix	Director, managing director	1 Mar 1998	Other	2937393
Patricia Ann Bourdon	Secretary	1 Nov 1998	Other	2897955
Michael Edward Weiss	Chief operations officer, managing director	1 Mar 1999	Other	2630172
Jay Robert Bloom	Managing director, director	1 Nov 1999	Other	1352609
Peter Jeremiah Crowley	Managing director, director	1 Nov 1999	Other	1394296
Richard D Hassard	Managing director, director	1 Nov 1999	Other	2725630
Marshall Andrew Heinberg	Managing director, director	1 Nov 1999	Other	1658785
Andrew Robert Heyer	Managing director, director	1 Nov 1999	Other	1033769
Lorne Robbins	Director	1 Nov 1999	Other	xxx-xx-xxxx
Mark E Kaplan	Managing director, general counsel	1 Nov 1999	Other	2618079
Salvatore Iannuzzi	Management committee member	1 May 2000	Other	xxx-xx-xxxx
Jeffrey David Thibeault	Chief compliance officer	1 Sep 2000	Other	2016855
Bruce Alan Renihan	Cfo, director, managing director	1 Jan 2001	Other	3192925
Paul David Rogers	President, director	1 Feb 2001	Other	3022703
Thomas Gallagher	Director, vice-chairman	1 Feb 2001	Other	1121910
David J. Kassie	Chairman of the board of directors	1 Feb 2001	Other	canadian individual
David Jonathan Kassie	Chairman of the board of directors	1 Feb 2001	Other	4378932
Paul Ignatiaus Rubacky	Chief financial officer	1 Sep 2001	Other	1671097
Jay Robert Bloom	Vice chairman	1 May 2002	Other	1352609
Michael Gust Capatides	Director, managing director	1 May 2002	Other	2972940
Peter Jeremiah Crowley	Managing director	1 May 2002	Other	1394296
Richard David Hassard	Managing director	1 May 2002	Other	2725630
Marshall Andrew Heinberg	Managing director	1 May 2002	Other	1658785
Andrew Robert Heyer	Vice chairman	1 May 2002	Other	1033769
Dean Caspar Kehler	Vice chairman	1 May 2002	Other	1373444
Michael John Neilson	Managing director	1 May 2002	Other	2598461
Kyle Adam Permut	Managing director	1 May 2002	Other	1329830
William Paul Phoenix	Managing director	1 May 2002	Other	2937393
Bruce Alan Renihan	Director	1 May 2002	Other	3192925
Salvatore Iannuzzi	Director, managing director	1 May 2002	Other	xxx-xx-xxxx
Gary Wayne Brown	Director, managing director	1 May 2002	Other	2564029
Brian Shaw	Director, managing director	1 May 2002	Other	xxx-xx-xxxx
Mary E Byck	Managing director	1 May 2002	Other	2725674
Robert Alan Deutsch	Managing director	1 May 2002	Other	xxx-xx-xxxx
John David Hellier	Managing director	1 May 2002	Other	1526381
Michael Patrick Higgins	Managing director	1 May 2002	Other	2396481
Christoph M Kotowski	Managing director	1 May 2002	Other	1386733
Edward Levy	Managing director	1 May 2002	Other	1945768
Walter Fiel Iv Mclallen	Managing director	1 May 2002	Other	1869962
Thomas Aquinas Jr Ortwein	Managing director	1 May 2002	Other	711984
Bruce John Spohler	Managing director	1 May 2002	Other	xxx-xx-xxxx
Kenneth Mark Wormser	Managing director	1 May 2002	Other	2099206
Charles Warren Gerber	General counsel	1 May 2002	Other	xxx-xx-xxxx
Joyce A. Burns	Managing director	1 May 2002	Other	xxx-xx-xxxx
Elliot Ganz	Assistant secretary	1 May 2002	Other	xxx-xx-xxxx
Lawrence Peter Spaulding	Chief operations officer, managing director	1 Aug 2002	Other	709233
Caryn Weinberger Jacobs	Us management committee member	1 Aug 2002	Other	xxx-xx-xxxx
Raymond Christopher Smith	Us management committee member	1 Dec 2002	Other	4638130
John William Kropf	Chief operations officer	1 Aug 2003	Other	1514349

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Cibc Delaware Holdings Inc.	98% shareholder	1 Mar 1998	75% - 100%	13-3990004
Cibc World Markets Inc.	83% shareholder	1 Sep 1998	75% - 100%
Canadian Imperial Bank Of Commerce	100% shareholder	1 Sep 2000	75% - 100%	13-1942440

Based in New York

The principal office where Cibc World Markets Corp. performs its advisory services is located at 425 Lexington Avenue, New York, NY 10017 The mailing address of the firm is 245 Park Avenue, 42 Nd Floor, New York, NY 10167. An additional office of the firm is in Los Angeles, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-856-4000 or by fax 212-667-4994. The normal business hours are 9:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at www.cibcopco.com.