J. B. Hanauer & Co. (Parsippany)

Name: J. B. Hanauer & Co.
Address: 4 Gatehall Dr., Parsippany, NJ, 07054
Telephone: 973-829-1000

J. B. Hanauer & Co. is a large advisory firm based in Parsippany. It manages $77.25 million of regulatory assets for 449 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, Connecticut, Florida, and 8 other states.

J. B. Hanauer & provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and pension consulting 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.

J. B. Hanauer &: assets under management

The assets under management (AUM) of J. B. Hanauer & Co. is $77.25 million. The firm's AUM has gone down by -47% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $11.98 million in discretionary accounts and $65.27 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $299.6 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $159.57 thousand.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay J. B. Hanauer & Co. for their services and products based on a percentage of assets under management. 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.

Careers at J. B. Hanauer & Co.

Greg Plifka has been acting as President since 1 Jun 1987. Mark Ellery Ringel joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Barry Hugh Zucker	President & ceo / director	1 Jun 1984	25% - 50%	500545
Greg Plifka	Executive vice president/secretary/director	1 Jun 1987	Other	1068803
Kenneth Marc Meiselman	Executive vice president / director	1 Jun 1990	Other	713637
Alexander Altman	Shareholder	1 Jun 1994	Other	500333
Gary Wayne Kleinman	Executive vice president / director	1 Jun 1995	Other	1067312
Mark Ellery Ringel	Srop/crop	1 Nov 1995	Other	1027629
Daniel John Kraus	Senior vice president / director	1 Jun 1997	Other	719032
John Henry Kessler	Shareholder	1 Jun 1999	Other	500436
William J Howard	Executive vice president / director	1 Jun 1999	Other	731313
Charlene Tamm Barnes	Senior vice president/cio/director	1 Jun 2000	Other	1917644
Ronald Neil Cookler	Executive vice president/director	1 Jun 2000	Other	500368
Richard Alan Freiman	Executive vice president/director	1 Jun 2000	Other	823670
Clyde A. Szuch	Director	1 Jun 2000	Other	4226704
David Rosenzweig	Executive vice president / director	1 Jun 2001	Other	501716
Robert William Toth	Crop	1 Nov 2001	Other	3056315
Virginia Antoinietta Manna	Cfo / executive vice president / director	1 Nov 2001	Other	1128673
Greg Plifka	Chief operating officer	1 Nov 2001	Other	1068803
Virginia Antonietta Manna	Cfo/director	1 Nov 2001	Other	1128673
Nelson David Civello	Director	1 Jun 2002	Other	1946618
William R. Carey	Director	1 Jun 2002	Other	4576626
Miriam Lefkowitz	General counsel / director of compliance	1 Jun 2002	Other	4567955
Marc Robert Coopersmith	Senior vice president/director	1 Jun 2003	Other	1545399
Stephen Paul Vitale	Senior vice president/director	1 Jun 2003	Other	1857106
Leon Morris Pollack	Director	1 Jun 2004	Other	365205
Jeffrey Alan Fladell	Director	1 Jun 2005	Other	209278
Christopher Paul Schmidt	Crop	1 Sep 2005	Other	1845098
Kenneth Marc Meiselman	Head trader/director	1 Jun 2006	Other	713637
Warren Jay Gisser	Corporate facilitator/director	1 Jun 2006	Other	2433665
Ronald Neil Cookler	Financial advisor	1 Jun 2006	Other	500368
Karl Vernon Leaverton	Director	1 May 2007	Other	1106831
Rbc Dain Rauscher Corp	Direct owner	1 May 2007	75% - 100%	41-1228350
Matthew Miles Boardman	Director	1 May 2007	Other	843666
John Godfrey Taft	Director	1 May 2007	Other	1007933
Rbc Capital Markets Holdings (Usa) Inc.	Direct owner	1 May 2007	75% - 100%	41-1228350
Mark Ellery Ringel	Srop/svp/ acting broker/dealer chief compliance officer	1 Jul 2007	Other	1027629
Rebecca Alden Frost	Acting investment advisory chief compliance officer and general counsel	1 Jul 2007	Other	5187802
Rebecca Alden Frost	Chief compliance officer and general counsel	1 Nov 2007	Other	5187802
Christopher Paul Schmidt	Crop/srop	1 Dec 2007	Other	1845098
Mark Ellery Ringel	Chief compliance officer	1 Apr 2008	Other	1027629

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Royal Bank Of Canada	Ultimate owner	1 Jan 2001	75% - 100%	13-5357855
Royal Bank Holding Inc.	Indirect owner	1 Aug 2002	75% - 100%	89-7712238
Rbc Usa Holdco Corp.	Indirect owner	1 Oct 2003	75% - 100%	20-0563684
Rbc Holdings (Usa) Inc.	Indirect owner	1 Oct 2003	75% - 100%	13-3237290

Based in Parsippany

The principal office where J. B. Hanauer & Co. performs its advisory services is located at 4 Gatehall Dr., Parsippany, NJ 07054, which is also the mailing address of the firm. An additional office of the firm is in Tampa, FL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 973-829-1000 or by fax 973-829-1340. The normal business hours are 9am to 5pm on Monday - Friday. You can find more information about the New York firm at www.jbhanauer.com.