Northwood Securities LLC (New York)

Name: Northwood Securities LLC
Address: 390 Park Avenue, New York, NY, 10022
Telephone: 646-663-4950

Northwood Securities LLC is a large advisory firm based in New York. It manages $541.39 million of regulatory assets for 10 client accounts. It has been registered with the SEC as an adviser since 2014 and has operated in the jurisdiction of New York.

Northwood Securities provides portfolio management for investment companies and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Northwood Securities: assets under management

The assets under management (AUM) of Northwood Securities LLC is $541.39 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 40% since the beginning of its operation, and $541.39 million of the total AUM is attributable to clients outside of the United States.

The firm manages $541.39 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $54.14 million each.

Investments

The firm invests in exchange traded securities the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Northwood Securities LLC for their services and products based on a percentage of assets under management. 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.

What kind of clients Northwood Securities serves?

The firm provides services to investment companies, pooled investment vehicles, and corporations or other businesses. The largest group of clients of Northwood Securities is corporations or other businesses with 6 clients and $385.74 million of assets under management. Among the 13 most similar advisory firms, Northwood Securities has the highest percentage of corporations or other businesses out of all clients.

The amount of regulatory assets under management is $541.39 million for 10 clients. 100% of the firm’s clients are foreign persons or businesses.

Northwood Securities doesn't advise any private funds.

Careers at Northwood Securities LLC

The company employs 17 people that are either part- or full-time employees. 59 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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
James Edmond Rehlaender	Chief executive officer; class b member	1 Jul 2014	75% - 100%	1162849
Michael P Sullivan	Chief compliance officer	1 Jul 2014	Other	5286099
Northwood Investors Llc	Class a member	1 Jul 2014	75% - 100%	161406
Su Yen Tse	Chief operating officer	1 Aug 2014	Other	6618527
Thomas Edward Mcgrath	Chief compliance officer	1 Apr 2016	Other	6639195
Heather Paduck	Chief financial officer	1 Sep 2016	Other	6714456
Kelvin Zen Tah Cheng	Senior vice president	1 Aug 2017	Other	4965181

Indirect Owners

The SEC currently registers 7 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
John Zavertnik Kukral	President/chief investment officer of northwood investors llc	1 Oct 2006	25% - 50%	2158611
Ronald L Marmer	Trustee of john z. kukral 1998 long term trust	1 May 2007	Other	6031926
Erwin K Aulis	Chief operating officer of northwood investors llc	1 May 2007	25% - 50%	6031129
Riverside Investment Holdings Llc	Member	1 Dec 2007	25% - 50%	20-0415439
John Z. Kukral 1998 Long Term Trust	Member	1 Aug 2009	25% - 50%	13-7140235
Karin Bain Kukral	Trustee of john z. kukral 1998 long term trust	1 Feb 2012	Other	1754728
Erwin K Aulis	Chief operating officer and chief financial officer of northwood investors llc	1 Apr 2016	25% - 50%	6031129

Based in New York

The principal office where Northwood Securities LLC performs its advisory services is located at 390 Park Avenue, New York, NY 10022, 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 646-663-4950 or by fax 646-390-3168. The normal business hours are 9 am - 5 pm on Monday - Friday. You can find more information about the New York firm at northwoodinvestors.com.