C.E. Unterberg, Towbin (A California Limited Partnership) (New York)

Name: C.E. Unterberg, Towbin (A California Limited Partnership)
Address: 350 Madison Avenue, New York, NY, 10017
Telephone: 212-389-8000

C.E. Unterberg, Towbin (A California Limited Partnership) is a large advisory firm based in New York. It manages $163.3 million of regulatory assets for 21 client accounts. It has been registered with the SEC as an adviser since 2001.

C.E. Unterberg, Towbin (A California Limited Partnership) provides portfolio management for individuals and small businesses 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.

C.E. Unterberg, Towbin (A California Limited Partnership): assets under management

The assets under management (AUM) of C.E. Unterberg, Towbin (A California Limited Partnership) is $163.3 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -33% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $163.3 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $7.78 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay C.E. Unterberg, Towbin (A California Limited Partnership) 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 C.E. Unterberg, Towbin (A California Limited Partnership)

Thomas Israel Unterberg has been acting as President since 1 Dec 1999. Inc. Ceut Holdings joined the executive team most recently as the Sole Member.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
C.E. Unterberg Inc.	General partner	1 May 1989	Other	13-3495144
Andrew Arno Inc.	General partner	1 Aug 1990	Other	13-3586726
Robert M. Matluck Inc.	General partner	1 Aug 1990	Other	13-3586723
Andrew Inc. Arno	Member	1 Aug 1990	Other	13-3586726
Lavitt Management Inc.	General partner	1 Aug 1992	Other	13-3586726
Brian L. Finnerty Inc.	General partner	1 Jan 1994	Other	13-3752379
Steven P. Novak Inc.	General partner	1 Jan 1994	Other	13-3749960
Artbin Inc.	General partner	1 Sep 1995	Other	13-3851786
Gene Robert Abrams	Director of compliance	1 Mar 1997	Other	xxx-xx-xxxx
Jeffrey C. Moskowitz Ltd.	General partner	1 Jan 1998	Other	13-3985918
Kodiak Llc	General partner	1 Jan 1998	Other	13-3868429
Jeffrey C. Ltd Moskowitz	Member	1 Jan 1998	Other	13-3985918
Marrus Corp.	General partner	1 Jul 1998	Other	13-4007776
Robert Lewis Thompson	Chief financial officer	1 Jul 1998	Other	xxx-xx-xxxx
Inc. Frazzle	General partner	1 Jan 1999	Other	13-4051436
Inc. Brian Goldman	General partner	1 Jan 1999	Other	13-4054316
Inc. Alex P. Bernstein	General partner	1 Jan 1999	Other	94-3324197
Inc. Questel	General partner	1 Jan 1999	Other	13-4050489
Inc. Estelle Konviser	General partner	1 Jan 1999	Other	13-4049677
Dc Ii	General partner	1 Jan 1999	Other	13-4064812
David Michael Barrett	Financial and operations principal	1 Mar 1999	Other	3133510
Ltd. Branigan Holdings	General partner	1 Aug 1999	Other	13-4084270
James Singer Corp.	General partner	1 Sep 1999	Other	13-4084341
Mitchell Meisler Inc.	General partner	1 Oct 1999	Other	13-4084375
Ol Tawes Inc.	General partner	1 Nov 1999	Other	13-4089994
Asln Inc.	General partner	1 Nov 1999	Other	13-4089965
Adam Ritzer Inc.	General partner	1 Nov 1999	Other	13-4085108
Robert Michael Matluck	Co-chief executive officer	1 Dec 1999	Other	1185892
Thomas Israel Unterberg	Chairman	1 Dec 1999	Other	xxx-xx-xxxx
Abraham Robert Towbin	Co-chairman	1 Dec 1999	Other	448476
Mel Stuart Lavitt	Vice chairman	1 Dec 1999	Other	303836
Andrew Arno	Co-chief executive officer	1 Dec 1999	Other	1021807
Thomas Duggan Inc.	General partner	1 Jan 2000	Other	13-4100338
M. O'connor Inc.	General partner	1 Jan 2000	Other	13-4100174
James D. Poyner Jr. Inc.	General partner	1 Jan 2000	Other	13-4094441
Ltd Jacandmaq Inc.	General partner	1 Jan 2000	Other	21-6468446
Bob Thompson Corporation	General partner	1 Jan 2000	Other	13-4096966
James T. Whipple Corp.	General partner	1 Jan 2000	Other	13-4099165
Stephen Adler Inc.	General partner	1 Jan 2000	Other	13-4100102
Andrew Waldeck Corp.	General partner	1 Jan 2000	Other	13-4117088
Karl Motey Inc.	General partner	1 Jan 2000	Other	94-3371353
Mark Levy Ltd.	General partner	1 Jan 2000	Other	13-4100147
William Kidd Inc.	General partner	1 Jan 2000	Other	13-4127413
Wgd Inc.	General partner	1 Jan 2000	Other	13-4121883
Jolex Inc.	Genral partner	1 Jan 2000	Other	13-4117881
Jane Dragone Ltd.	General partner	1 Jan 2000	Other	13-4135590
David Boucher Corp.	General partner	1 Jan 2000	Other	84-1573479
T.E. Duggan Corp.	General partner	1 Jan 2000	Other	13-4100338
Jane Dragone Inc.	General partner	1 Jan 2000	Other	13-4135590
David Boucher Inc.	General partner	1 Jan 2000	Other	84-1573479
Inc. John Cronin	General partner	1 Apr 2001	Other	13-4154195
Eckhardt Corp.	General partner	1 Apr 2001	Other	13-4162516
Florence Kimm Corp.	General partner	1 Apr 2001	Other	13-4169426
Sydney Murphy Corp.	General partner	1 Apr 2001	Other	13-4154061
T.O. Rudd Corporation	General partner	1 Apr 2001	Other	13-4169621
Inc. Martin Pyykkonen	General partner	1 Apr 2001	Other	94-3390679
Rd Long Corp.	General partner	1 Apr 2001	Other	13-4175748
The Moorhead Group Inc.	General partner	1 Apr 2001	Other	13-3589703
Sydney Murphy Ltd.	General partner	1 Apr 2001	Other	13-4154061
Inc. Madrans	General partner	1 Jan 2002	Other	02-0553968
Inc. S.J. Dora	General partner	1 Jan 2002	Other	80-0034270
Jiggsy Ltd	General partner	1 Jan 2002	Other	80-0034160
Inc. Gutfreund & Co.	General partner	1 Jan 2002	Other	13-3731589
Inc. Dogheart	General partner	1 Jan 2002	Other	04-3639426
J. B. Townsend Corp.	General partner	1 Jan 2002	Other	04-3650707
S T S Corp.	General partner	1 Jan 2002	Other	33-1041475
Howard Ramsey Sutherland	Chief legal officer	1 Apr 2003	Other	4654819
Lewis Rabinowitz	Srop	1 Sep 2003	Other	369731
Christine C. Gallagher	General partner	1 Oct 2003	Other	13-4210410
Michael J. Krasko	General partner	1 Oct 2003	Other	13-3257787
Christine C. Ltd. Gallagher	General partner	1 Oct 2003	Other	13-4210410
Michael J. Inc. Krasko	General partner	1 Oct 2003	Other	13-3257787
Andrew Leon Berger	Senior managing director, executive committee member	1 Oct 2003	Other	1053795
Peter William Fick	Chief compliance officer	1 Dec 2003	Other	1414468
Inc. Ceut Holdings	Sole member	1 Jan 2004	75% - 100%	20-0526156
Stanley B Stern	Executive member	1 Jan 2004	Other	721616
Harlan Phillip Kleiman	Vice chairman , executive member	1 Jan 2004	Other	2546618

Indirect Owners

The SEC currently registers 62 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Thomas Israel Unterberg	President	1 May 1989	75% - 100%	451739
Andrew Arno	President	1 Aug 1990	75% - 100%	1021807
Robert Michael Matluck	President	1 Aug 1990	75% - 100%	1185892
Mel Stuart Lavitt	President	1 Aug 1992	75% - 100%	303836
Brian Leonard Finnerty	President	1 Jan 1994	75% - 100%	208042
Steven Paul Novak	President	1 Jan 1994	75% - 100%	1298370
Abraham Robert Towbin	President	1 Sep 1995	75% - 100%	448476
Jeffrey Craig Moskowitz	President	1 Jan 1998	75% - 100%	1058165
Andrew Maximillian Blum	President	1 Jan 1998	75% - 100%	24116
Michael Edwin Marrus	President	1 Jul 1998	75% - 100%	1941034
Steven Charles Frankel	President	1 Jan 1999	75% - 100%	2471815
Brian David Goldman	President	1 Jan 1999	75% - 100%	2193220
Alexander Paul Bernstein	President	1 Jan 1999	75% - 100%	2360939
Theresa Marie Garvey	President	1 Jan 1999	75% - 100%	1411758
Estelle Ellen Konviser	President	1 Jan 1999	75% - 100%	1103933
Jordan Stuart Berlin	President	1 Jan 1999	75% - 100%	821934
Mark Christopher Branigan	President	1 Aug 1999	75% - 100%	871163
James Alan Singer	President	1 Sep 1999	75% - 100%	859841
Mitchell Ross Meisler	President	1 Oct 1999	75% - 100%	1271863
Adam Saul Frankfort	President	1 Nov 1999	75% - 100%	1293630
Adam Robert Ritzer	President	1 Nov 1999	75% - 100%	1057194
Orrie Lee Iii Tawes	President	1 Nov 1999	75% - 100%	442987
Thomas Edward Duggan	President	1 Jan 2000	75% - 100%	1584685
Michelle Paula Oconnor	President	1 Jan 2000	75% - 100%	2686541
James Davis Jr Poyner	President	1 Jan 2000	75% - 100%	1136320
Robert Lewis Thompson	President	1 Jan 2000	75% - 100%	2293274
James Thomas Whipple	President	1 Jan 2000	75% - 100%	1417979
Douglas Michael Quartner	President	1 Jan 2000	75% - 100%	1018202
Paul Frederick Rodriguez	President	1 Jan 2000	75% - 100%	2688905
Andrew M Waldeck	President	1 Jan 2000	75% - 100%	xxx-xx-xxxx
Wiliam Garrett Jr Dering	President	1 Jan 2000	75% - 100%	xxx-xx-xxxx
Stephen Joseph Adler	President	1 Jan 2000	75% - 100%	819059
William Bf Kidd	President	1 Jan 2000	75% - 100%	3169014
Karl Kaveh Motey	President	1 Jan 2000	75% - 100%	2822464
Mark Lewis Levy	President	1 Jan 2000	75% - 100%	1049720
Jane Elizabeth Dragone	President	1 Jan 2000	75% - 100%	xxx-xx-xxxx
David Farrell Boucher	President	1 Jan 2000	75% - 100%	1055613
John Raymond Cronin	President	1 Apr 2001	75% - 100%	1652188
Charles Cole Eckhardt	President	1 Apr 2001	75% - 100%	708756
Florence Young Kimm	President	1 Apr 2001	75% - 100%	2607727
Suzanne Elizabeth Murphy	President	1 Apr 2001	75% - 100%	1863323
Theodore Rudd Oneill	President	1 Apr 2001	75% - 100%	2488334
Martin Paul Pyykkonen	President	1 Apr 2001	75% - 100%	2334996
Robert Douglas Long	President	1 Apr 2001	75% - 100%	858858
John Upshur Ii Moorhead	President	1 Apr 2001	75% - 100%	1329616
John Halle Gutfreund	President	1 Jan 2002	75% - 100%	13-3731589
James B. Townsend	President	1 Jan 2002	75% - 100%	04-3650707
James Alperin	President	1 Jan 2002	75% - 100%	80-0034160
Randall Longfield	President	1 Jan 2002	75% - 100%	02-0553968
John H. Gutfreund	President	1 Jan 2002	75% - 100%	13-3731589
James R. Alperin	President	1 Jan 2002	75% - 100%	80-0034160
Dora Stephen J	President	1 Jan 2002	75% - 100%	80-0034270
James Bowne Townsend	President	1 Jan 2002	75% - 100%	712970
James Richard Alperin	President	1 Jan 2002	75% - 100%	2467392
Randall Nicholas Longfield	President	1 Jan 2002	75% - 100%	312384
Stephen John Dora	President	1 Jan 2002	75% - 100%	2470840
Stanley B Stern	President	1 Jan 2002	75% - 100%	721616
Christine C. Gallagher	President	1 Oct 2002	75% - 100%	13-4210410
Christine C Gallagher	President	1 Oct 2002	75% - 100%	2741442
Michael J Krasko	President	1 Oct 2003	75% - 100%	13-3257787
Michael John Krasko	President	1 Oct 2003	75% - 100%	275001
Towbin Inc. C.E. Unterberg	Shareholder	1 Jan 2004	25% - 50%	13-3495144

Based in New York

The principal office where C.E. Unterberg, Towbin (A California Limited Partnership) performs its advisory services is located at 350 Madison Avenue, New York, NY 10017, 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 212-389-8000 or by fax 212-389-8881. The normal business hours are 9am to 5pm on Monday - Friday. You can find more information about the New York firm at www.unterberg.com.