The Electrum Group LLC (New York)


The Electrum Group LLC is a large advisory firm based in New York. It manages $1.09 billion of regulatory assets for 5 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of Colorado.

The Electrum Group provides 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.

The Electrum Group: assets under management

The assets under management (AUM) of The Electrum Group LLC is $1.09 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -40% since the beginning of its operation, and $1.09 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $1.09 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $217.58 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay The Electrum Group LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Michael Halbert Williams serves?

The only and largest group of clients of Michael Halbert Williams is pooled investment vehicles with 5 clients and $1.09 billion of assets under management. Among the 12 most similar advisory firms, The Electrum Group has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $1.09 billion for 5 clients. 100% of the firm’s clients are foreign persons or businesses.

The Electrum Group also advises several private funds. Namely, three private equity funds. The minimum investment commitment required of non-related persons ranges from $0 to $5,000,000.

Careers at The Electrum Group LLC

The company employs 15 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone 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.

Michael Halbert Williams has been acting as President since 1 Mar 2012. Ali Reza Erfan joined the executive team most recently as the Director And Co Vice Chairman.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Thomas Scott Kaplan Chairman, chairman of the board and director 1 Oct 2011 Other 6027494
Robert Morton Newman Director 1 Oct 2011 Other 347244
Igor Levental Director 1 Oct 2011 Other 6067291
Kaplan Family Trust Member 1 Oct 2011 Other 11-1111112
Daphne Matilde Recanati Kaplan Member 1 Oct 2011 Other 6027505
Andrew Mark Shapiro General counsel 1 Jan 2012 Other 4828891
Igor Levental President 1 Jan 2012 Other 6067291
Igor Nmn Levental President 1 Jan 2012 Other 6067291
Mark David Wallace Director/chief operating officer 1 Jan 2012 Other 6027507
Steven Slocum Drachman Chief compliance officer 1 Jan 2012 Other 3235678
Michael Halbert Williams Director 1 Mar 2012 Other 6067272
Teg Services Holding Inc. Member 1 Jan 2013 75% - 100% 46-1834008
Eric Nelson Vincent Director/chief executive officer 1 Jan 2013 Other 3192879
Joshua Aaron Fink Director and vice-chairman 1 Feb 2013 Other 3254919
Emily Rowland Chief compliance officer and associate general counsel 1 Feb 2013 Other 6171318
Thomas Alexander Mastrobuoni Senior vice president finance 1 Apr 2013 Other 4838923
Ali Reza Erfan Director and co-vice chairman 1 Feb 2018 Other 6920730

Indirect Owners

The SEC currently registers 17 indirect owners.

Name Entity Date acquired Ownership Employer ID
William Natbony Trustee 1 Feb 2004 Other 6027510
William Natbony Trustee 1 Apr 2004 Other 6027510
Thomas S. Kaplan 2004 Ten Year Annuity Trust Member 1 Jul 2006 50% - 75% 13-7398635
William Natbony Manager 1 Jul 2007 Other 6027510
New Generations Trust Shareholder 1 Dec 2007 75% - 100% foreign
Butterfield Trust (Bermuda) Limited Trustee 1 Dec 2007 Other foreign
Grat Holdings Llc Member 1 Jan 2008 75% - 100% 26-0405678
William Natbony Manager 1 Jan 2008 Other 6027510
Dafna Kaplan 2003 Eight Year Annuity Family Trust Member 1 Jan 2012 50% - 75% 35-6952602
William Natbony Trustee 1 Jan 2012 Other 6027510
Grat Holdings Llc Member 1 May 2012 75% - 100% 26-0405678
Cgt Management Ltd Shareholder 1 Jan 2013 25% - 50% foreign
Leopard Holdings Llc Shareholder 1 Jan 2013 25% - 50% 30-0516605
Thomas S. Kaplan 2004 Ten Year Annuity Family Trust Member 1 Apr 2014 50% - 75% 46-7420988
William Natbony Trustee 1 Apr 2014 Other 6027510
William Nmn Natbony Trustee 1 Apr 2014 Other 6027510
Thomas Scott Kaplan Sole member of asset committee 1 Apr 2017 Other 6027494

Based in New York

The principal office where The Electrum Group LLC performs its advisory services is located at 535 Madison Avenue, 12 Th Floor, New York, NY 10022, which is also the mailing address of the firm. An additional office of the firm is in Denver, CO. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 646-365-1600 or by fax 646-365-1601. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday.