Harbourview Asset Management Corporation (New York)

Harbourview Asset Management Corporation is a large advisory firm based in New York. It manages $397.7 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Harbourview Asset Management Corporation 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.

Harbourview Asset Management Corporation: assets under management

The assets under management (AUM) of Harbourview Asset Management Corporation is $397.7 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -80% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $397.7 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $397.7 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Harbourview Asset Management Corporation 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 Arthur Philip Steinmetz serves?

The only and largest group of clients of Arthur Philip Steinmetz is pooled investment vehicles with 1 clients and $397.7 million of assets under management. Among the 7 most similar advisory firms, Harbourview Asset Management Corporation has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $397.7 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Harbourview Asset Management Corporation also advises several private funds. Namely, one securitized asset fund. The minimum investment commitment required of non-related persons is $250,000 for each fund.

Careers at Harbourview Asset Management Corporation

Arthur Philip Steinmetz has been acting as President since 1 Jan 2010. Robert Harris Rigsby joined the executive team most recently as the Director, Secretary And Vice President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Brian William Wixted	Treasurer	1 Mar 1999	Other	1543247
William Jaume	Senior vice president	1 Apr 2000	Other	1916383
John Vincent Murphy	Director	1 Jul 2001	Other	2168440
Robert Gregory Zack	Senior vice president & general counsel	1 Nov 2001	Other	2428497
Inc. Ofi Global Institutional	Shareholder	1 Dec 2001	75% - 100%	110363
Inc. Ofi Institutional Asset Management	Shareholder	1 Dec 2001	75% - 100%	110363
Charles Lloyd Mckenzie	Ceo,president,senior managing director and director	1 Jul 2003	Other	2367172
Kurt John Wolfgruber	Director	1 Jul 2003	Other	1903189
Mark Stephen Vandehey	Chief compliance officer	1 Mar 2004	Other	1018546
Kristie Marie Feinberg	Treasurer	1 Jun 2008	Other	3162040
David Matthew Pfeffer	President, director & chief financial officer	1 Jan 2010	Other	4151070
Arthur Philip Steinmetz	Director	1 Jan 2010	Other	1377996
Arthur Sanford Gabinet	Chief legal officer	1 Jan 2011	Other	5788482
Philipp Albert Hensler	Director	1 Jan 2013	Other	5014272
Mary Ann Picciotto	Chief compliance officer	1 Mar 2014	Other	4235357
Cynthia Lo Bessette	Chief legal officer	1 Feb 2016	Other	6468381
Robert Harris Rigsby	Director, secretary and vice president	1 May 2019	Other	6611555
Loren Michael Starr	Director, chief executive officer & president	1 May 2019	Other	2178384

Indirect Owners

The SEC currently registers 18 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Massachusetts Mutual Life Insurance Company	Member	1 Nov 1984	75% - 100%	04-1590850
Mm Asset Management Holding Llc	Shareholder	1 Oct 1990	75% - 100%	45-4000072
Oppenheimer Acquisition Corp.	Shareholder	1 Oct 1990	75% - 100%	84-1149206
Oppenheimer Acquisition Corp. (Gatc)	Shareholder	1 Oct 1990	75% - 100%	84-1853679
Massachusetts Mutual Life Insurance Company	Shareholder	1 Oct 1990	75% - 100%	2682
Massachusetts Mutual Life Insurance Company	Member	1 Apr 1994	75% - 100%	04-1590850
Massmutual Holding Llc	Shareholder	1 Dec 1996	75% - 100%	04-2854319
Inc. Oppenheimerfunds	Shareholder	1 Dec 2001	75% - 100%	13-4160541
Invesco Holding Company Limited	Sole shareholder	1 Jan 2002	75% - 100%	98-0407710
Invesco Ltd.	Sole shareholder	1 Jan 2002	75% - 100%	98-0407710
Massmutual Holding Llc	Member	1 Nov 2011	75% - 100%	04-2854319
Mm Asset Management Holding Llc	Shareholder	1 Jan 2012	75% - 100%	45-4000072
Mm Asset Management Holding Llc	Shareholder	1 Feb 2012	75% - 100%	45-4000072
Massmutual Holding Llc	Sole member	1 Feb 2012	75% - 100%	04-2854319
Inc. Invesco Group Services	Sole shareholder	1 Jun 2018	75% - 100%	58-1995394
Inc. Invesco Advisers	Shareholder	1 May 2019	75% - 100%	105360
Inc. Ofi Global Asset Management	Sole shareholder	1 May 2019	75% - 100%	161556
Inc. Invesco Holding Company (Us)	Sole shareholder	1 May 2019	75% - 100%	58-2287224

Based in New York

The principal office where Harbourview Asset Management Corporation performs its advisory services is located at 225 Liberty Street, 11 Th Floor, New York, NY 10281 1008, which is also the mailing address of the firm. An additional office of the firm is in Centennial, CO. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-323-0200 or by fax 212-323-4071. The normal business hours are 8:30 a.m. to 5:00p.m. on Monday - Friday.