Ota Advisors LLC (Purchase)


Ota Advisors LLC is a large advisory firm based in Purchase. It manages $45.79 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdiction of New York.

Ota Advisors provides 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.

Ota Advisors: assets under management

The assets under management (AUM) of Ota Advisors LLC is $45.79 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 20% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $45.79 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $15.26 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ota Advisors LLC 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 Ota Advisors LLC

Steven Todd Ruoff has served as the Chief Investment Officer since 1 Jul 2003. John Arthur Hanratty joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Ota Asset Management Llc Managing member 1 Jul 2003 75% - 100% 59-3770400
James William Santori Chief financial officer 1 Jul 2003 Other 1567697
Steven Todd Ruoff Chief investment officer 1 Jul 2003 Other 4496832
Richard Scott Jaffe Compliance officer 1 Jul 2003 Other 2433314
John Arthur Hanratty Chief compliance officer 1 Jul 2005 Other 4138174

Indirect Owners

The SEC currently registers 6 indirect owners.

Name Entity Date acquired Ownership Employer ID
Ira Mark Leventhal Sole shareholder/director 1 Aug 1987 75% - 100% 827983
Iml Corporation General partner 1 Sep 1995 25% - 50% 13-3424954
Ira Mark Leventhal Limited partner 1 Jan 1998 25% - 50% 827983
Abota Llc General partner 1 Jul 1999 Other 13-4078071
Lmi Limited Corporation Managing member 1 Jul 1999 25% - 50% 13-3854022
Ota Financial Group Lp Managing member 1 Apr 2003 75% - 100% 13-4018069

Based in Purchase

The principal office where Ota Advisors LLC performs its advisory services is located at 1 Manhattanville Road, Purchase, NY 10577, 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 914-694-4066 or by fax 914-694-6341. The normal business hours are 9-5 on Monday - Friday.