Knickerbocker Advisors Inc. (Pine Plains)

Name: Knickerbocker Advisors Inc.
Address: 45 Johnny Cake Hollow Road, Pine Plains, NY, 12567
Telephone: 518-398-9000

Knickerbocker Advisors Inc. is a large advisory firm based in Pine Plains. It manages $105.24 million of regulatory assets for 108 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of Connecticut, New Hampshire, and New York.

Knickerbocker Advisors provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Knickerbocker Advisors: assets under management

The assets under management (AUM) of Knickerbocker Advisors Inc. is $105.24 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 104% since the beginning of its operation, and $2.96 million of the total AUM is attributable to clients outside of the United States.

The firm manages $105.24 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $974.43 thousand each.

Knickerbocker Advisors has custody of $63.62 million in cash and securities for 17 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 91% of the total AUM. The second-largest asset type is exchange traded securities, which make up 8% of the firm’s portfolio. Investments in cash and cash equivalents form 1% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Knickerbocker Advisors Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed 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 Knickerbocker Advisors serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Knickerbocker Advisors is high net worth individuals with 19 clients and $102.32 million of assets under management. Among the 11 most similar advisory firms, Knickerbocker Advisors has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $105.24 million for 27 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 3% of the firm’s clients are foreign persons or businesses.

Knickerbocker Advisors doesn't advise any private funds.

Careers at Knickerbocker Advisors Inc.

The company employs 2 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’s a single person 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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
John Henry Low	President, secy.,treas.& chief compliance officer	1 Feb 1992	75% - 100%	2574180
John Low	President, secy.,treas.& chief compliance officer	1 Feb 1992	75% - 100%	2574180
Constanza F.A. Low	Vice president	1 Jun 1994	Other	4490651

Based in Pine Plains

The principal office where Knickerbocker Advisors Inc. performs its advisory services is located at 45 Johnny Cake Hollow Road, Pine Plains, NY 12567 The mailing address of the firm is Post Office Box 312, Pine Plains, NY 12567. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 518-398-9000 or by fax 518-398-9800. The normal business hours are by appointment only on Other. You can find more information about the New York firm at knick.com.