Keppler Asset Management Inc. (New York)

Name: Keppler Asset Management Inc.
Address: 350 West 57 St, New York, NY, 10019
Telephone: 212-245-4304

Keppler Asset Management Inc. is a large advisory firm based in New York. It manages $1.11 billion of regulatory assets for 16 client accounts. It has been registered with the SEC as an adviser since 2006.

Keppler Asset Management provides portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Keppler Asset Management: assets under management

The assets under management (AUM) of Keppler Asset Management Inc. is $1.11 billion. $1.11 billion of the total AUM is attributable to clients outside of the United States.

Investments

The firm invests in exchange traded securities the most. They account for 99% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 1% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Keppler Asset Management Inc. for their services and products based on a percentage of assets under management and performance-based fees. 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.

What kind of clients Michael Alfons Keppler serves?

The only and largest group of clients of Michael Alfons Keppler is corporations or other businesses with 8 clients and $1.11 billion of assets under management. Among the 7 most similar advisory firms, Keppler Asset Management has the highest percentage of corporations or other businesses out of all clients.

The amount of regulatory assets under management is $1.11 billion for 8 clients. 100% of the firm’s clients are foreign persons or businesses.

Keppler Asset Management doesn't advise any private funds.

Careers at Keppler Asset Management Inc.

The company employs 6 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Michael Alfons Keppler has been acting as President since 1 Oct 1992. John Hamilton Reeder joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Michael Alfons Keppler	President	1 Oct 1992	75% - 100%	1210252
Margaret J Keppler	Treasurer	1 Oct 1992	Other	4435835
John Hamilton Reeder	Chief compliance officer	1 Sep 2005	Other	5029877

Based in New York

The principal office where Keppler Asset Management Inc. performs its advisory services is located at 350 West 57 St, New York, NY 10019, 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 212-245-4304 or by fax 212-262-8150. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at kamny.com/.