Warfield Associates, Inc. (New York)

Name: Warfield Associates, Inc.
Address: 40 West 57 Th Street, New York, NY, 10019
Telephone: 212-207-2353

Warfield Associates, Inc. is a large advisory firm based in New York. It manages $77.66 million of regulatory assets for 90 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 9 other states.

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

Warfield Associates: assets under management

The assets under management (AUM) of Warfield Associates, Inc. is $77.66 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -77% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $77.66 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $862.9 thousand each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Warfield Associates, Inc. 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 Warfield Associates, Inc.

Thomas Ruffin Warfield has been acting as President since 1 Mar 1983. Philip Ward Warner joined the executive team most recently as the Executive Vice President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Thomas Ruffin Warfield	President	1 Mar 1983	75% - 100%	459015
Thomas Ruffin Warfield	President	1 Dec 1983	75% - 100%	459015
Ann Elizabeth Mckenna	Corporate secretary	1 Nov 1988	Other	xxx-xx-xxxx
Thomas Ruffin Warfield	Financial & operations principal	1 Jun 1993	Other	459015
Thomas Ruffin Warfield	Chairman	1 Nov 2002	75% - 100%	459015
Michael Kirk Shields	President	1 Nov 2002	Other	2248861
David Maurice Mahoney	Senior vice president	1 Feb 2004	Other	2071670
Timothy Francis Cleary	Vice president & corporate secretary	1 Feb 2004	Other	3234615
Barbara Ellen Rodin	Corporate secretary	1 Jun 2004	Other	xxx-xx-xxxx
Philip Ward Warner	Executive vice president	1 Nov 2004	Other	459195

Based in New York

The principal office where Warfield Associates, Inc. performs its advisory services is located at 40 West 57 Th Street, 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 212-207-2353 or by fax 212-371-1143. The normal business hours are 9:00a.m. - 5:30 p.m. on Monday - Friday. You can find more information about the New York firm at warfieldassociates.com.