Nathan & Lewis Securities, Inc. (New York)


Nathan & Lewis Securities, Inc. is a large advisory firm based in New York. It manages $408.26 million of regulatory assets for 2,035 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arkansas, and 39 other states.

Nathan & Lewis Securities provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and pension consulting services. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Nathan & Lewis Securities: assets under management

The assets under management (AUM) of Nathan & Lewis Securities, Inc. is $408.26 million. The firm's AUM has gone down by -10% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $60.86 million in discretionary accounts and $347.4 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $364.44 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $185.98 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Nathan & Lewis Securities, Inc. for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc (Nelh) New England Life Holdings Common stock 1 Apr 1998 75% - 100% 04-3353087
New England Life Insurance Co. Common stock 1 Apr 1998 75% - 100% 04-2708937
Inc. Met Life New England Holding Common stock 1 Apr 1998 75% - 100% 13-3904696
Metropolitan Life Insurance Company Common stock 1 Apr 1998 75% - 100% 4095
Metlife Inc 100% share holder 1 Apr 2000 75% - 100% 13-4075851

Based in New York

The principal office where Nathan & Lewis Securities, Inc. performs its advisory services is located at Richard Berenger Managing Director Of Compliance, New York, NY 10016, which is also the mailing address of the firm. An additional office of the firm is in Staten Island, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-413-4536 or by fax 212-302-3904. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at www.nlfs.com.