Unicredit Capital Markets, Inc (New York)

Unicredit Capital Markets, Inc is a large advisory firm based in New York. It manages $27.5 million of regulatory assets for 7 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdiction of New York.

Unicredit Capital Markets provides portfolio management for individuals and small businesses and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Unicredit Capital Markets: assets under management

The assets under management (AUM) of Unicredit Capital Markets, Inc is $27.5 million. The firm's AUM has gone down by -84% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $27 million in discretionary accounts and $500 thousand in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $27 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $83.33 thousand.

Careers at Unicredit Capital Markets, Inc

Giuseppe Morisi has been acting as President since 1 May 2008. Andrew James Lupo joined the executive team most recently as the President & Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Gabrielle Falger	Secretary	1 Jan 2004	Other	xxx-xx-xxxx
Hvb U.S. Finance Inc.	Direct owner	1 Dec 2004	75% - 100%	13-3916633
Howard Spindel	Fin-op	1 Nov 2007	Other	708042
Andrew James Lupo	President & chief compliance officer	1 May 2008	Other	1296320
Gyula Bela Schuch	Director & officer	1 May 2008	Other	2666645
Giuseppe Morisi	Director	1 May 2008	Other	5528856

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Bayerische Hypo Und Vereinsbank Ag	Indirect owner	1 Sep 1998	75% - 100%	13-2774123
Unicredito Italiano S.P.A.	Parent company-indirect owner	1 Nov 2005	75% - 100%	13-2751277

Based in New York

The principal office where Unicredit Capital Markets, Inc performs its advisory services is located at 150 East 42 Nd Street, New York, NY 10017, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.