Barclays Capital Inc. (New York)


Barclays Capital Inc. is a large advisory firm based in New York. It manages $12.75 billion of regulatory assets for 2,786 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 45 other states.

Barclays Capital provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, selection of other advisers, and asset allocation models. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Barclays Capital: assets under management

The assets under management (AUM) of Barclays Capital Inc. is $12.75 billion. The firm's AUM has grown by 160% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $11.89 billion in discretionary accounts and $857.44 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $5.82 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.16 million.
Barclays Capital has custody of $9.19 billion in cash and securities for 7,330 clients in total and acts as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Barclays Capital Inc. 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 Barclays Capital Inc.

Gerard Sebastian Larocca has been acting as President since 1 Jan 2011. Kenneth Charles Abbott joined the executive team most recently as the Board Director.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
John George Stathis Head of sales 1 Apr 1999 Other 1294489
Barclays Group Us Inc. Owns barclays capital inc. 1 Dec 1999 75% - 100% 13-3249618
Barclays Group Us Inc. Owns barclays capital inc. 1 Jan 2000 75% - 100% 13-3249618
Chester Benjamin Feldberg Board director 1 Aug 2000 Other 4220143
Chester B Feldberg Board director 1 Aug 2000 Other 4220143
Michael Curry Montgomery Board director 1 Apr 2002 Other 838794
Erin Ashley Mansfield Director of compliance 1 May 2003 Other 1335302
Jonathan Patrick Hughes Global general counsel / general counsel americas 1 Aug 2004 Other 2051729
Laurence Gary Kantor Head of research 1 Sep 2005 Other 4664815
Gerard Sebastian Larocca Board director 1 Oct 2005 Other 2683227
Erin Ashley Mansfield Board director 1 Oct 2005 Other 1335302
Gerard Sebastian Larocca Board director, ceo barclays capital inc. 1 Nov 2005 Other 2683227
Erin Ashley Mansfield President barclays capital inc. 1 Nov 2005 Other 1335302
Laurence Gary Kantor Head of research 1 Jan 2007 Other 4664815
Thierry Nicolas Lucas Srop 1 Jan 2007 Other 4363755
Thomas John Gavenda Cfo 1 Jun 2007 Other 2154609
Thomas John Gavenda Finop - finance 1 Aug 2007 Other 2154609
Richard Eugene Konefal Crop 1 Aug 2007 Other 2431960
John Crocker Rodefeld Head of us operations, finop 1 Oct 2007 Other 3232512
James Bruce Walker Board director 1 Nov 2007 Other 4802500
James B Walker Board director 1 Nov 2007 Other 4802500
Karl Dennis Cooper Chief compliance officer - barclays wealth 1 Dec 2007 Other 4860440
Karl D Cooper Chief compliance officer - barclays wealth 1 Dec 2007 Other 4860440
Philippe El Asmar Head of barclays wealth 1 Jan 2008 Other 4337027
Jerrold Gonzales Mauricio Chief compliance officer - barclays wealth 1 Oct 2008 Other 3175743
Martin B Kelly Cfo, finop 1 Mar 2009 Other 4730149
Howard Russ Plotkin Chief compliance officer - investment advisory business only 1 Apr 2009 Other 1970722
Richard Eugene Konefal Rosfp 1 May 2009 Other 2431960
Ian Theo Lowitt Board director 1 May 2009 Other 4210205
Jack Barry Petersen Head of retail 1 Nov 2009 Other 2380594
Thomas Newman Mcmanus Chief compliance officer 1 Jan 2010 Other 1858669
Joseph Francis Regan Cfo, finop 1 Jan 2010 Other 2119776
Martin B Kelly President barclays capital inc. 1 Jan 2010 Other 4730149
Michael Lee Crowl Chief legal officer 1 Mar 2010 Other 5464806
Stephen H Houston Head of retail 1 Jun 2010 Other 1988668
John Christopher Trohan Board director 1 Sep 2010 Other 4360513
Jason Anthony Monteiro Rosfp 1 Oct 2010 Other 2713848
Gerard Sebastian Larocca President 1 Jan 2011 Other 2683227
Alastair Paul Blackwell Chief operations officer 1 Jan 2011 Other 5312429
Martin B Kelly Chief financial officer 1 Jan 2011 Other 4730149
Jerry Del Missier Chief executive officer 1 Jan 2011 Other 5778623
Donald Nevin Gershuny Chief legal officer 1 Jan 2011 Other 5846144
Martin Bernard Kelly Chief financial officer 1 Jan 2011 Other 4730149
Alastair Paul Blackwell Chief operations officer 1 Feb 2011 Other 5312429
Carmen Z Menendez Puerto Chief compliance officer 1 May 2011 Other 2432294
Gerard Sebastian Larocca Chief compliance officer 1 May 2011 Other 2683227
Stephen Scott Head Head of retail 1 Sep 2011 Other 240938
Lee Guy Board director 1 Sep 2011 Other 2388391
Eugene Allen Meyer Chief compliance officer - bd 1 Dec 2011 Other 2819236
Barbara A Keller Chief compliance officer - investment adviser 1 Jan 2012 Other 1960836
Jill Wenzlaff Ostergaard Chief compliance officer - bd 1 Mar 2012 Other 3022963
Thomas Llewellyn Kalaris Board director 1 May 2012 Other 1502851
Gerald Aldo Donini Co-chief executive officer 1 Aug 2012 Other 2751131
Hugh Edward Iii Mcgee Co-chief executive officer 1 Aug 2012 Other 1782899
Christopher Michael Weidler Chief financial officer 1 Aug 2012 Other 5844137
Joseph M Busuttil Board director 1 Aug 2012 Other 2836180
Robert Joseph Bohlert Rosfp - wealth 1 Sep 2012 Other 4171503
Alastair Paul Blackwell Board director 1 Oct 2012 Other 5312429
Michael John Harrison Board director 1 Oct 2012 Other 4643436
Alastair Paul Blackwell Board director 1 Nov 2012 Other 5312429
Stephen Henry Houston Board director 1 May 2013 Other 1988668
Joseph James Iii Corcoran Board director 1 May 2013 Other 2126677
Stephen H Houston Board director 1 May 2013 Other 1988668
Joseph Michael Busuttil Board director 1 Jul 2013 Other 2836180
Jonathan Darryl Klein Rosfp - wealth 1 Jul 2013 Other 2457251
Joseph M Busuttil Board director 1 Jul 2013 Other 2836180
Rahul Jaising Rosfp - prime services 1 Aug 2013 Other 4754959
Jonathan Michael Imundo Rosfp - investor solutions 1 Aug 2013 Other 4199570
Anthony Bancone Rosfp - distribution 1 Aug 2013 Other 1790892
Joseph Francis Regan Board director 1 Aug 2013 Other 2119776
Joseph M Busuttil Board director 1 Aug 2013 Other 2836180
Joseph Jr Erigo Chief compliance officer - investment adviser 1 Aug 2013 Other 4168502
Larry Scott Wieseneck Head of sales 1 Aug 2013 Other 2277006
Teresa Leigh Drummond Texas designated principal 1 Sep 2013 Other 1611804
Joseph Michael Busuttil Chief financial officer 1 Nov 2013 Other 2836180
Joseph M Busuttil Chief financial officer 1 Nov 2013 Other 2836180
Roopa Mehendale Foley Texas designated principal 1 Mar 2014 Other 4993252
Roopa M Foley Texas designated principal 1 Mar 2014 Other 4993252
Thomas William Lee Head of retail 1 Apr 2014 Other 3071694
Thomas James Mcguire Board director 1 May 2014 Other 3275074
Joseph Allen Gold Board director 1 May 2014 Other 5513804
Eric Richard Yoss Board director 1 May 2014 Other 5053420
Marcelo Leoncio Riffaud Co-chief legal officer 1 May 2014 Other 2588667
Kevin Robert Genirs Co-chief legal officer 1 May 2014 Other 5827358
Carlos Manuel Pelayo Chief legal officer 1 May 2014 Other 5327877
Marcelo L Riffaud Co-chief legal officer 1 May 2014 Other 2588667
Edvard S Olsen Chief compliance officer - investment adviser 1 Jun 2014 Other 4584109
Joseph Allen Gold Chief executive officer 1 Jul 2014 Other 5513804
William Francis Cairney Chief compliance officer - investment adviser 1 Nov 2014 Other 2088079
William F Cairney Chief compliance officer - investment adviser 1 Nov 2014 Other 2088079
Kevin John Mckay Chief legal officer - wealth 1 Mar 2015 Other 1136608
Monty Lee Forrest Board director 1 May 2015 Other 5812639
Marcelo Leoncio Riffaud Chief legal officer 1 Jul 2015 Other 2588667
Jeffrey Anthony Meli Co-head of research 1 Jul 2015 Other 4477654
Teresa Leigh Drummond Texas designated principal 1 Aug 2015 Other 1611804
Kenneth Charles Abbott Board director 1 Nov 2015 Other 2343656

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Barclays Plc Sole shareholder 1 Jan 1985 75% - 100% foreign
Barclays Bank Plc Sole shareholder 1 Jan 2000 75% - 100% 13-4942190

Based in New York

The principal office where Barclays Capital Inc. performs its advisory services is located at 745 7 Th Avenue, New York, NY 10019 6801, which is also the mailing address of the firm. An additional office of the firm is in Miami, FL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-526-7000 or by fax 646-834-1946. The normal business hours are 9:00am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at barclays.com.