Aig Financial Advisors, Inc. (Phoenix)

Name: Aig Financial Advisors, Inc.
Address: 2800 North Central Avenue, Phoenix, AZ, 85004
Telephone: 602-744-3000

Aig Financial Advisors, Inc. is a large advisory firm based in Phoenix. It manages $2.2 billion of regulatory assets for 11,665 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

Aig Financial Advisors provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and pension consulting services. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

Aig Financial Advisors: assets under management

The assets under management (AUM) of Aig Financial Advisors, Inc. is $2.2 billion. The firm's AUM has grown by 258% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $611.76 million in discretionary accounts and $1.59 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $137.51 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $219.71 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Aig Financial Advisors, Inc. for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. 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.

Careers at Aig Financial Advisors, Inc.

Mary Louise Cavanaugh has been acting as President since 1 Sep 2004. James Burke Brown joined the executive team most recently as the Senior Vice President National Sales.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
James Richard Cannon	President, ceo, director	1 Sep 2004	Other	1755987
Aig Advisor Group	100% shareholder	1 Sep 2004	75% - 100%	86-0623854
Lisa Sue Kubica	E.v.p., coo, srop, mp	1 Sep 2004	Other	1098488
Christopher Blake Radford	Executive vice president, national sales manager	1 Sep 2004	Other	1564302
Mary Louise Cavanaugh	Director	1 Sep 2004	Other	1977110
Rita Lynn Sonchik	V.p. accounting	1 Sep 2004	Other	1865389
Ralph Owen Jr Stauffer	V.p. information technology	1 Sep 2004	Other	3255670
Michael Ronald Mcreynolds	Assistant v.p. insurance	1 Sep 2004	Other	816602
Steven Elliot Rothstein	E.v.p.,cfo, treasurer	1 Sep 2004	Other	1292456
Inger Wilson Fields	Finop	1 Sep 2004	Other	1690043
Sally Hanson Bourdamis	V.p., brokerage services	1 Sep 2004	Other	1812157
Jacquelyn Marie Capriotti	V.p. vision 2020	1 Sep 2004	Other	1575021
Kenneth Paul Dorfman	Crop	1 Sep 2004	Other	2460380
Lexi Miklos Karsay	First vice president, customer service and commissions	1 Sep 2004	Other	2818575
Karen Elizabeth Stadjuhar	V.p. branch supervision	1 Sep 2004	Other	1796248
Keith Windsor Johnson	V.p. business development	1 Sep 2004	Other	1142260
Diane Schlissel Rosen	Assistant v.p. director of investment research	1 Sep 2004	Other	2663205
Bridget Mary Gaughan	E.v.p. general counsel, secretary	1 Sep 2004	Other	2691949
Susanne Marie Denby	V.p., cco	1 Sep 2004	Other	2617514
Ralph Joel Parker	Assistant vice president, insurance	1 Sep 2004	Other	2587496
Aig Advisor Group Inc.	100% shareholder	1 Sep 2004	75% - 100%	86-0623854
James Richard Smith	Manager, national sales business analyst	1 May 2005	Other	2235774
Phillip Alden Hofling	Vice president, legal	1 Sep 2005	Other	5032628
Lester Helm	Vice president, education, training & marketing communications	1 Sep 2005	Other	4338004
Bruce Todd Freeman	Associate vice president, director of trading, municipal principal	1 Sep 2005	Other	2451499
Lisa Elaine Bredeson	Sr. vp, coo	1 May 2006	Other	1831538
Mark Daniel Lippman	Crop	1 May 2006	Other	1022235
Clara Sierra	Vp, investment advisory services	1 Jul 2006	Other	2034485
Susan Stalteri	Vice president, branch supervision	1 Sep 2006	Other	1919110
Brett Anthony Ishler	Vp, investment product & research	1 Oct 2006	Other	2668812
Michael Thomas Ii Ezzell	Asst. vice president, investment research	1 Jul 2007	Other	4839534
John Henry Chitwood	Crop	1 Sep 2007	Other	2083895
Jeri Michelle Harrell	Assistant vice president, product sales and marketing	1 Sep 2007	Other	xxx-xx-xxxx
Dave B Hauer	Srop	1 Oct 2007	Other	4018434
Randy Epright	Chief operating officer	1 Mar 2008	Other	xxx-xx-xxxx
Jeffrey Michael Auld	President, ceo	1 Jun 2008	Other	857528
Noah David Sorkin	Senior vice president, general counsel	1 Jun 2008	Other	1832767
Ralph Lawrence Roth	Director	1 Jul 2008	Other	1432179
Jerome John Murphy	Director	1 Jul 2008	Other	2796596
James Burke Brown	Senior vice president national sales	1 Oct 2008	Other	1664825

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Sunamerica Investment	Shareholder	1 Sep 1990	75% - 100%	52-1128427
Inc. Aig Retirement Services	Shareholder	1 Jan 1999	25% - 50%	95-4715639
Inc. American International Group	Shareholder	1 Jan 1999	75% - 100%	13-2592361
Sunamerica Life Insurance	Shareholder	1 Jan 2004	50% - 75%	52-0502540
Inc. Aig Retirement Services	Shareholder	1 Jan 2004	75% - 100%	95-4715639
Sunamerica Life Insurance Co.	Shareholder	1 Jan 2004	50% - 75%	52-0502540

Based in Phoenix

The principal office where Aig Financial Advisors, Inc. performs its advisory services is located at 2800 North Central Avenue, Phoenix, AZ 85004, which is also the mailing address of the firm. An additional office of the firm is in Salem, OR. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 602-744-3000 or by fax 602-744-3225. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at www.aigfinancialadvisors.com.