Syntax Advisors, LLC (New York)

Syntax Advisors, LLC is a mid-sized advisory firm based in New York. It manages $71.7 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2018 and has operated in the jurisdiction of New York.

Syntax Advisors provides portfolio management for investment companies and 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.

Syntax Advisors: assets under management

The assets under management (AUM) of Syntax Advisors, LLC is $71.7 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 40% since the beginning of its operation, and $209.44 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $71.7 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $23.9 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Syntax Advisors, LLC for their services and products based on a percentage of assets under management. 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.

What kind of clients Kathleen Camille Cuocolo serves?

The firm provides services to investment companies and pooled investment vehicles. The largest group of clients of Kathleen Camille Cuocolo is investment companies with 1 clients and $48.14 million of assets under management. Among the 3 most similar advisory firms, Syntax Advisors has the 2nd highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $71.7 million for 3 clients. None of the firm’s clients are foreign persons or businesses.

Syntax Advisors also advises several private funds. Namely, two other private funds. The minimum investment commitment required of non-related persons is $250,000 for each fund.

Careers at Syntax Advisors, LLC

The company employs 7 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person 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.

Kathleen Camille Cuocolo has been acting as President since 1 Nov 2016. Carly Lynn Arison joined the executive team most recently as the Senior Vice President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Llc Syntax	Sole member	1 Nov 2016	75% - 100%	47-3349812
Rory Balfour Riggs	Non member mananger, chief executive officer	1 Nov 2016	Other	1080612
Glenn Nicholas Francis	Chief operating officer	1 Nov 2016	Other	6779502
Kathleen Camille Cuocolo	President	1 Nov 2016	Other	6779504
Patrick Andrew Chism	Chief compliance officer	1 Jan 2017	Other	2875421
Carly Lynn Arison	Senior vice president	1 Jun 2019	Other	6305983

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Rory Balfour Riggs	Shareholder	1 Apr 2009	75% - 100%	1080612
Datagrids Limited	Limited partner	1 May 2009	Other	98-0622177
Rory Balfour Riggs	Limited partner	1 May 2009	75% - 100%	1080612
Rory Balfour Riggs	Manager	1 Mar 2015	Other	1080612
Lp Locus	Member	1 Mar 2015	Other	98-0661065

Based in New York

The principal office where Syntax Advisors, LLC performs its advisory services is located at 110 E. 59 Th Street, New York, NY 10022, which is also the mailing address of the firm. An additional office of the firm is in Concord, MA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (212) 880-0200 or by fax (646) 253-5560. The normal business hours are 9:00- 5:00 on Monday - Friday.