Cibc World Markets Corp. (New York)


Cibc World Markets Corp. is an adviser based in New York. It manages $691.75 thousand of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arkansas, and 46 other states.

Cibc World Markets Corp provides portfolio management for pooled investment vehicles and pension consulting services. It prepares financial plans for approximately 700 clients. On top of advisory services, the firm doesn't engage in other business activities.

Cibc World Markets Corp: assets under management

The assets under management (AUM) of Cibc World Markets Corp. is $691.75 thousand, all of which is managed in discretionary accounts. The firm's AUM has gone down by -100% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $691.75 thousand in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $691.75 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Cibc World Markets Corp. 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.

Careers at Cibc World Markets Corp.

Michael Gust Capatides has been acting as President since 1 Nov 1997. John William Kropf joined the executive team most recently as the Chief Operations Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Cibc World Markets Holdings Inc. 100% shareholder 1 Nov 1997 75% - 100% 13-3216517
Michael Gust Capatides Director 1 Nov 1997 Other 2972940
Michael Schwartz Senior rop 1 Nov 1997 Other 416378
Dean Caspar Kehler Director, managing director 1 Mar 1998 Other 1373444
Michael John Neilson Director, managing director 1 Mar 1998 Other 2598461
Seth Bradley Novatt Director, managing director 1 Mar 1998 Other 1060342
Kyle Adam Permut Director, managing director 1 Mar 1998 Other 1329830
William Paul Phoenix Director, managing director 1 Mar 1998 Other 2937393
Patricia Ann Bourdon Secretary 1 Nov 1998 Other 2897955
Michael Edward Weiss Chief operations officer, managing director 1 Mar 1999 Other 2630172
Jay Robert Bloom Managing director, director 1 Nov 1999 Other 1352609
Peter Jeremiah Crowley Managing director, director 1 Nov 1999 Other 1394296
Richard D Hassard Managing director, director 1 Nov 1999 Other 2725630
Marshall Andrew Heinberg Managing director, director 1 Nov 1999 Other 1658785
Andrew Robert Heyer Managing director, director 1 Nov 1999 Other 1033769
Lorne Robbins Director 1 Nov 1999 Other xxx-xx-xxxx
Mark E Kaplan Managing director, general counsel 1 Nov 1999 Other 2618079
Salvatore Iannuzzi Management committee member 1 May 2000 Other xxx-xx-xxxx
Jeffrey David Thibeault Chief compliance officer 1 Sep 2000 Other 2016855
Bruce Alan Renihan Cfo, director, managing director 1 Jan 2001 Other 3192925
Paul David Rogers President, director 1 Feb 2001 Other 3022703
Thomas Gallagher Director, vice-chairman 1 Feb 2001 Other 1121910
David J. Kassie Chairman of the board of directors 1 Feb 2001 Other canadian individual
David Jonathan Kassie Chairman of the board of directors 1 Feb 2001 Other 4378932
Paul Ignatiaus Rubacky Chief financial officer 1 Sep 2001 Other 1671097
Jay Robert Bloom Vice chairman 1 May 2002 Other 1352609
Michael Gust Capatides Director, managing director 1 May 2002 Other 2972940
Peter Jeremiah Crowley Managing director 1 May 2002 Other 1394296
Richard David Hassard Managing director 1 May 2002 Other 2725630
Marshall Andrew Heinberg Managing director 1 May 2002 Other 1658785
Andrew Robert Heyer Vice chairman 1 May 2002 Other 1033769
Dean Caspar Kehler Vice chairman 1 May 2002 Other 1373444
Michael John Neilson Managing director 1 May 2002 Other 2598461
Kyle Adam Permut Managing director 1 May 2002 Other 1329830
William Paul Phoenix Managing director 1 May 2002 Other 2937393
Bruce Alan Renihan Director 1 May 2002 Other 3192925
Salvatore Iannuzzi Director, managing director 1 May 2002 Other xxx-xx-xxxx
Gary Wayne Brown Director, managing director 1 May 2002 Other 2564029
Brian Shaw Director, managing director 1 May 2002 Other xxx-xx-xxxx
Mary E Byck Managing director 1 May 2002 Other 2725674
Robert Alan Deutsch Managing director 1 May 2002 Other xxx-xx-xxxx
John David Hellier Managing director 1 May 2002 Other 1526381
Michael Patrick Higgins Managing director 1 May 2002 Other 2396481
Christoph M Kotowski Managing director 1 May 2002 Other 1386733
Edward Levy Managing director 1 May 2002 Other 1945768
Walter Fiel Iv Mclallen Managing director 1 May 2002 Other 1869962
Thomas Aquinas Jr Ortwein Managing director 1 May 2002 Other 711984
Bruce John Spohler Managing director 1 May 2002 Other xxx-xx-xxxx
Kenneth Mark Wormser Managing director 1 May 2002 Other 2099206
Charles Warren Gerber General counsel 1 May 2002 Other xxx-xx-xxxx
Joyce A. Burns Managing director 1 May 2002 Other xxx-xx-xxxx
Elliot Ganz Assistant secretary 1 May 2002 Other xxx-xx-xxxx
Lawrence Peter Spaulding Chief operations officer, managing director 1 Aug 2002 Other 709233
Caryn Weinberger Jacobs Us management committee member 1 Aug 2002 Other xxx-xx-xxxx
Raymond Christopher Smith Us management committee member 1 Dec 2002 Other 4638130
John William Kropf Chief operations officer 1 Aug 2003 Other 1514349

Indirect Owners

The SEC currently registers 3 indirect owners.

Name Entity Date acquired Ownership Employer ID
Cibc Delaware Holdings Inc. 98% shareholder 1 Mar 1998 75% - 100% 13-3990004
Cibc World Markets Inc. 83% shareholder 1 Sep 1998 75% - 100%
Canadian Imperial Bank Of Commerce 100% shareholder 1 Sep 2000 75% - 100% 13-1942440

Based in New York

The principal office where Cibc World Markets Corp. performs its advisory services is located at 425 Lexington Avenue, New York, NY 10017 The mailing address of the firm is 245 Park Avenue, 42 Nd Floor, New York, NY 10167. An additional office of the firm is in Los Angeles, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-856-4000 or by fax 212-667-4994. The normal business hours are 9:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at www.cibcopco.com.

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