Firm Name |
Firm CRD# |
Total AUM |
No. of Clients |
Fee Structure |
VAN ECK ASSOCIATES CORP. 666 Third Avenue,
9th Floor New York, NY 10017-4033 |
105080 |
$68,402,533,420 |
85 |
A percentage of AUM |
GILDER GAGNON HOWE & CO. LLC 475 Tenth Avenue,
12th Floor New York, NY 10018-1120 |
2002 |
$20,112,768,647 |
9031 |
A percentage of AUM, Commision Based |
HSBC SECURITIES (USA) INC. 452 Fifth Avenue,
New York, NY 10018 |
19585 |
$3,856,530,902 |
15727 |
A percentage of AUM, Fixed fees, Performance Based |
BNY MELLON SECURITIES CORPORATION 240 Greenwich Street,
9th Floor East New York, NY 10286-0001 |
231 |
$2,481,367,832 |
3995 |
A percentage of AUM |
SIGNATURE SECURITIES GROUP CORP. 1177 Avenue Of The Americas, 11th Floor,
New York, NY 10036 |
104233 |
$1,095,258,974 |
1964 |
A percentage of AUM |
GRIFFIN ASSET MANAGEMENT, LLC 230 Park Avenue,
4th Floor New York, NY 10169 |
104548 |
$945,320,067 |
661 |
A percentage of AUM, Fixed fees, Performance Based |
CREDIT SUISSE SECURITIES (USA) LLC 11 Madison Avenue,
New York, NY 10010 |
816 |
$771,367,168 |
22 |
A percentage of AUM, Performance Based, Other (TRANSACTION-BASED FEE) |
BMO CAPITAL MARKETS CORP. 151 West 42nd Street,
New York, NY 10036 |
16686 |
$714,517,194 |
2 |
A percentage of AUM, Other (FEES FOR SECURITIES TRADING IDEAS AND RESEARCH) |
GAGNON SECURITIES, LLC 1370 6th Avenue,
26th Floor New York, NY 10019 |
103727 |
$710,114,755 |
1192 |
A percentage of AUM, Commision Based |
HEROLD ADVISORS, INC. 845 Third Avene Suite 17,
New York, NY 10022-7513 |
105090 |
$376,020,301 |
315 |
A percentage of AUM |
CAPITAL MANAGEMENT ASSOCIATES INC 140 Broadway, 44th Floor,
New York, NY 10005 |
104783 |
$136,383,933 |
42 |
A percentage of AUM |
R. F. LAFFERTY & CO., INC. 40 Wall Street,
New York, NY 10005 |
2498 |
$103,435,214 |
159 |
A percentage of AUM, Commision Based |
DEUTSCHE BANK SECURITIES INC. 1 Columbus Circle,
New York, NY 10019 |
2525 |
$71,102,389 |
24 |
A percentage of AUM, Fixed fees |
NEEDHAM & COMPANY, LLC 250 Park Avenue,
New York, NY 10177 |
16360 |
$0 |
0 |
Fixed fees, Commision Based, Other (PURSUANT TO CSA AGREEMENTS) |
MMA SECURITIES LLC 1166 Avenue Of The Americas,
New York, NY 10036 |
44254 |
$0 |
0 |
Hourly charges, Fixed fees, Commision Based, Other (BASED ON ASSETS) |