Lombard Odier, Inc. (New York)

Lombard Odier, Inc. is a large advisory firm based in New York. It manages $216.9 million of regulatory assets for 67 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Arizona, California, Florida, and 22 other states.

Lombard Odier provides portfolio management for individuals and small businesses and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Lombard Odier: assets under management

The assets under management (AUM) of Lombard Odier, Inc. is $216.9 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 230% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $216.9 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.24 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Lombard Odier, 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.

Careers at Lombard Odier, Inc.

Jean Keller has been acting as President since 1 May 1999. Joseph Fred Gieger joined the executive team most recently as the President/Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Patrick Odier	Chairman	1 Sep 1987	Other	4346907
Fridolin Ernst Fackelmayer	Managing director	1 May 1992	Other	4358232
Patrick Odier	Chairman	1 Dec 1992	Other	4346907
Jean Keller	Director/president	1 May 1999	Other	4358078
Joseph Fred Gieger	Managing director	1 Aug 1999	Other	2198604
Ronald Armist	Director	1 Dec 1999	Other	4346909
Andre Monette	Treasurer	1 Jun 2000	Other	1354044
Philip Davidowitz	Corporate secretary	1 Jun 2000	Other	61506
Nadine Le Rouzic	Compliance officer	1 Jun 2000	Other	4358239
Inc. Lombard Odier Holdings (Us)	Direct stockholder	1 Dec 2000	75% - 100%	061603711
Inc. Lodh Holding (Usa)	Direct stockholder	1 Dec 2000	75% - 100%	061603711
Rudolf Leutwiler	Director	1 Jun 2001	Other	4514571
Naveed Chaudhry	Investment manager	1 Jan 2002	Other	4514575
Joseph Fred Gieger	President/director	1 Oct 2002	Other	2198604
Doreen Mary Mochrie	Managing director	1 Oct 2002	Other	1437463

Indirect Owners

The SEC currently registers 22 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Lombard Odier & Cie (A Partnership)	Indirect stockholder	1 Jul 1972	75% - 100%	foreign entity
Lombard Odier Darier Hentsch & Cie (A Partnership)	Indirect stockholder	1 Jul 1972	75% - 100%	foreign entity
Thierry Michel Lombard	Senior managing partner	1 Jan 1982	Other	4346934
Jean Albert Bonna	Managing partner	1 Jan 1983	Other	4346938
Patrick Odier	Managing partner	1 Jan 1986	Other	4346907
Richard Von Tscharner	Managing partner	1 Jan 1989	Other	4346931
Philippe Alaine Sarasin	Managing partner	1 Jan 1991	Other	4346906
Philippe Alain Sarasin	Managing partner	1 Jan 1991	Other	4346906
Jean Pastre	Managing partner	1 Sep 1995	Other	4347222
Lombard Odier Holdings Uk Ltd	Indirect stockholder	1 Dec 2000	75% - 100%	foreign entity
Lodh Holdings (Uk) Limited	Indirect stockholder	1 Dec 2000	75% - 100%	foreign entity
Bernard Marcel Droux	Managing partner	1 Jan 2001	Other	1344766
Anne Marie De Weck	Managing partner	1 Jan 2002	Other	4514574
Pierre Edouard Henri Darier	Senior managing partner	1 Jul 2002	Other	4565309
Bertrand Gregoire Jaques Darier	Managing partner	1 Jul 2002	Other	4565310
Eric Gordon Demole	Managing partner	1 Jul 2002	Other	4565312
Barthelemy Laurent Rene Helg	Managing partner	1 Jul 2002	Other	4565314
Jacques Rossier	Managing partner	1 Jul 2002	Other	4565316
Thierry Paul Kern	Managing partner	1 Jul 2002	Other	4565318
Bertrand Gregoire Jacques Darier	Managing partner	1 Jul 2002	Other	4565310
Lombard Odier Darier Hentsch & Cie (A Partnership)	Indirect stockholder	1 Sep 2002	75% - 100%	foreign entity
Lodh Holding S.A.	Indirect shareholder	1 Sep 2002	75% - 100%	foreign entity

Based in New York

The principal office where Lombard Odier, Inc. performs its advisory services is located at 12 East 49 Th Street, New York, NY 10017, 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 212-753-4400 or by fax 212-792-4460. The normal business hours are 9:00am to 5:00pm on Monday - Friday.