{"url":"https://nivawealth.com/firms/vanderbilt-avenue-asset-management-145370","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/145370","regulatoryAum":241914564,"crd":"145370","history":[{"filedOn":"2021-05-07","regulatoryAum":570429947,"clients":21,"employees":7,"offices":1},{"filedOn":"2022-03-31","regulatoryAum":399298306,"clients":21,"employees":8,"offices":1},{"filedOn":"2023-06-29","regulatoryAum":307093436,"clients":17,"employees":7,"offices":1},{"filedOn":"2024-03-27","regulatoryAum":242042048,"clients":13,"employees":6,"offices":1},{"filedOn":"2025-03-28","regulatoryAum":246652752,"clients":11,"employees":6,"offices":1},{"filedOn":"2026-03-24","regulatoryAum":241914564,"clients":10,"employees":6,"offices":1}],"secFileNumber":"801-68702","legalName":"Vanderbilt Avenue Asset Management LLC","displayName":"Vanderbilt Avenue Asset Management","slug":"vanderbilt-avenue-asset-management-145370","website":"https://vaamllc.com/","classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"745 Fifth Avenue, 5th Floor","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10151"},"tradeNames":[],"registration":{"secApproved":"1 February 2008","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":3055685.5,"staff":{"employees":6,"advisory":6,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":241914564,"discretionary":195637939,"discretionaryAccounts":12,"nonDiscretionary":46276625,"nonDiscretionaryAccounts":11,"wrapProgram":null,"nonUsClientsPct":6,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":4,"regulatoryAum":12222742},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":10341905},{"label":"State or municipal government entities","clients":null,"fewerThan5":true,"regulatoryAum":86321268},{"label":"Insurance companies","clients":null,"fewerThan5":true,"regulatoryAum":24754845},{"label":"Corporations and other businesses","clients":6,"regulatoryAum":108273804}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"US Bank","shortName":"US Bank","location":"Cincinnati, OH","smaAssets":117756027},{"name":"Principal","shortName":"Principal","location":"Waco, TX","smaAssets":30148225}],"custodyNote":"Vanderbilt Avenue Asset Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Fuad (NMN) Hageb","title":"Chief Compliance Officer","crd":"2010757"},{"name":"Marc Konheiser","title":"Head of Trade Operations","crd":"2838865"},{"name":"William Maloney","title":"Portfolio Manager","crd":"2236915"},{"name":"John Pankratz","title":"Chief Administrative Officer","crd":"1324503"},{"name":"Suzanne Saurack","title":"Senior Portfolio Manager","crd":"7530471"},{"name":"Emad Zikry","title":"Managing Member","crd":"1826438"}],"ownership":[{"label":"Emad Zikry","detail":"Managing member in the 75% or more ownership band and a control person, since April 2008."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"745 Fifth Avenue, 5th Floor","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-973-2200","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":9},{"label":"U.S. government/agency bonds","percent":53},{"label":"Investment grade corporate bonds","percent":14},{"label":"Cash and cash equivalents","percent":19},{"label":"Other","percent":5,"detail":"MBS"}],"privateFunds":0},"sources":{"adv1FilingDate":"24 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/145370/PDF/145370.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Vanderbilt Avenue Asset Management have?","answer":"Vanderbilt Avenue Asset Management has 10 clients and manages $242 million for them, as of March 2026. They include 6 corporations and other businesses and 4 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Vanderbilt Avenue Asset Management offer?","answer":"Vanderbilt Avenue Asset Management provides portfolio management for individuals and small businesses and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Vanderbilt Avenue Asset Management use?","answer":"Vanderbilt Avenue Asset Management’s separately managed account assets are held at US Bank (Cincinnati, OH), with $118M and Principal (Waco, TX), with $30.1M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Vanderbilt Avenue Asset Management have?","answer":"Vanderbilt Avenue Asset Management has 0 investment adviser representatives registered with state securities authorities, out of 6 employees, and 6 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Vanderbilt Avenue Asset Management invest in?","answer":"At the end of its last fiscal year, Vanderbilt Avenue Asset Management’s separately managed accounts held 53% U.S. government and agency bonds, 19% cash and equivalents, 14% investment grade corporate bonds, 9% exchange-traded equities and 5% other. The 5% other category is described as: MBS.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Vanderbilt Avenue Asset Management?","answer":"Vanderbilt Avenue Asset Management’s direct owner is Emad Zikry (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Vanderbilt Avenue Asset Management get paid?","answer":"Vanderbilt Avenue Asset Management is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Vanderbilt Avenue Asset Management?","answer":"Vanderbilt Avenue Asset Management’s main office is at 745 Fifth Avenue, 5th Floor, New York, NY 10151. Its phone number is 212-973-2200. Its website is vaamllc.com.","source":"Form ADV Part 1A, Item 1.F, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}