The Bank Of New York Capital Markets Ltd (London)

Name: The Bank Of New York Capital Markets Ltd
Address: One Canada Square, London, E14 5 Al
Telephone: 011-44-207-964-6112

The Bank Of New York Capital Markets Ltd is a large advisory firm based in London. It manages $11.25 billion of regulatory assets for 20 client accounts. It has been registered with the SEC as an adviser since 2001.

The Bank Of New York Capital Markets provides portfolio management for pooled investment vehicles and market timing 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.

The Bank Of New York Capital Markets: assets under management

The assets under management (AUM) of The Bank Of New York Capital Markets Ltd is $11.25 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 139% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $11.25 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $562.5 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay The Bank Of New York Capital Markets Ltd 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 The Bank Of New York Capital Markets Ltd

Jeffrey Tessler has been acting as President since 1 Mar 1998. William Abercrombie Kerr joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. The Bank Of New York Company	Shareholder	1 Apr 1983	75% - 100%	13-2614959
The Bank Of New York	Shareholder	1 Apr 1983	75% - 100%	13-5160382
Bny International Financing Corporation	Shareholder	1 Apr 1983	75% - 100%	13-6022232
Raymond Thomas Cullen	Director	1 Mar 1988	Other	4438695
Kevin John Bailey	Director	1 Oct 1994	Other	4438697
Gary Ian Vocat	Director	1 Oct 1994	Other	4438693
Jeffrey Tessler	Director	1 Mar 1998	Other	4437531
Bruce Winfield Vansaun	Director	1 Sep 1999	Other	1749923
Bruce Winfield Van Saun	Director	1 Sep 1999	Other	1749923
Lisa Ann Manuele	Director	1 Jun 2000	Other	1055087
Nicholas Charles Coleman	Director	1 Apr 2002	Other	4641611
Timothy Francis Keaney	Director	1 Jan 2004	Other	4772740
Robert Jackman	Chief compliance officer	1 Oct 2004	Other	4877619
Robert Alec Jackman	Chief compliance officer	1 Oct 2004	Other	4877619
Angus Kenneth Cameron	Director	1 Nov 2004	Other	4907911
Michael Amorgianos	Director	1 Jul 2005	Other	5109796
James Gerard Mcauliffe	Director	1 Jul 2005	Other	5109798
Stephen Anthony Jones	Director	1 Aug 2005	Other	5109797
Alain Paul Lesjongard	Chief compliance officer	1 Oct 2005	Other	5101163
John Meikle Johnston	Director	1 Mar 2007	Other	5489979
William Abercrombie Kerr	Director	1 Nov 2007	Other	3110531

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc The Bank Of New York Company	Shareholder	1 Apr 1983	75% - 100%	13-2614959
The Bank Of New York Mellon Corporation	Shareholder	1 Apr 1983	75% - 100%	13-2614959

Based in London

The principal office where The Bank Of New York Capital Markets Ltd performs its advisory services is located at One Canada Square, London, E14 5 Al, 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 011-44-207-964-6112 or by fax 011-44-207-964-6753. The normal business hours are 09:00 - 17:30 on Monday - Friday. You can find more information about the New York firm at www.bankofny.com.