Robert Fleming Inc. (New York)

Name: Robert Fleming Inc.
Address: 522 Fifth Avenue, New York, NY, 10036
Telephone: 212-837-1400

Robert Fleming Inc. is a large advisory firm based in New York. It manages $576.43 million of regulatory assets for 942 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Robert Fleming provides portfolio management for individuals and small businesses, portfolio management for investment companies, and 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.

Robert Fleming: assets under management

The assets under management (AUM) of Robert Fleming Inc. is $576.43 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -88% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $576.43 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $611.92 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Robert Fleming Inc. 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 Robert Fleming Inc.

Jonathan Kendrew Simon has been acting as President since 1 Oct 1991. Anthony Mark Leslie Roberts joined the executive team most recently as the Head Of Legal/Managing Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Jonathan Kendrew Simon	Director	1 Oct 1991	Other	1189836
Christopher Mark Jones	Director	1 Mar 1997	Other	2370542
Eduardo Canet	Director	1 Mar 1998	Other	2468568
Leonard G Lubrano	Cfo	1 Nov 1999	Other	1091164
Arthur Aaron Levy	Chairman	1 Nov 2000	Other	308210
Charles Robert Bridge	Director	1 Nov 2000	Other	3108244
Larry Alan Kimmel	President	1 Nov 2000	Other	269619
William Robert Maass	Director	1 Nov 2000	Other	xxx-xx-xxxx
Thomas James Smith	Md/chief compliance officer	1 Jan 2001	Other	4325577
Veronique Weill	Director	1 Feb 2002	Other	4372858
Ronald Richard Dewhurst	President/director	1 Feb 2002	Other	1590061
Jeff Trongone	Chief financial officer	1 Feb 2002	Other	4336443
George C.W Gatch	Director/managing director	1 Oct 2002	Other	4320888
Eve Guernsey	President/director/managing director	1 Oct 2002	Other	2861310
Kenneth M Moore	Chief financial officer/vice president	1 Oct 2002	Other	4604664
Seth Perry Bernstein	Global head of fixed income/managing director	1 Oct 2002	Other	2025891
George Crosby White Gatch	Director/managing director	1 Oct 2002	Other	4320888
Evelyn Victoria Exley Guernsey	President/director/managing director	1 Oct 2002	Other	2861310
Dennis Miles Kass	Director/managing director	1 Oct 2002	Other	1244371
Paul Louis Scibetta	Chief fiduciary officer/managing director	1 Nov 2002	Other	4448887
Martin Roy Porter	Global head of equities/cio	1 Feb 2003	Other	4360894
Lawrence Mark Unrein	Director	1 Feb 2003	Other	4380391
Pablo Forero	Deputy global head of equities/managing director	1 Feb 2003	Other	4620057
Andrew Spencer	Chief investment officer of us retail business/managing director	1 Mar 2003	Other	4671266
Roy Kinnear	Treasurer/managing director	1 Apr 2003	Other	4517164
Patricia Lurel Cook	Chief investment officer of global fixed income/managing director	1 May 2003	Other	1066107
Anthony Mark Leslie Roberts	Head of legal/managing director	1 Jul 2003	Other	4691455

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Copthall Overseas Ltd.	Stockholder	1 Oct 1985	75% - 100%
Robert Flemings Holdings Ltd	Stockholder	1 Oct 1985	75% - 100%
Robert Fleming Nominees Ltd	Stock holder	1 Oct 1985	25% - 50%
The Chase Manhattan Corporation	Stockholder	1 Aug 2000	75% - 100%	13-2624428
J.P. Morgan Chase & Co.	Stockholder	1 Aug 2000	75% - 100%	13-2624428

Based in New York

The principal office where Robert Fleming Inc. performs its advisory services is located at 522 Fifth Avenue, New York, NY 10036, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 212-837-1400 or by fax 212-837-1108. The normal business hours are 9:00am-5:00pm on Monday - Friday. You can find more information about the New York firm at www.jpmorganfam.com.