Philippe Investment Management, Inc (New York)


Philippe Investment Management, Inc is a large advisory firm based in New York. It manages $229.27 million of regulatory assets for 22 client accounts. It has been registered with the SEC as an adviser since 2001.

Philippe Investment Management provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and trusts and estates and charitable institutions. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Philippe Investment Management: assets under management

The assets under management (AUM) of Philippe Investment Management, Inc is $229.27 million. The firm's AUM has grown by 10% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $136.68 million in discretionary accounts and $92.59 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $6.83 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $46.3 million.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Philippe Investment Management, Inc 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.

Careers at Philippe Investment Management, Inc

Zoltan Hankovszky has been acting as President since 1 Oct 1998. Jacques Vaysse joined the executive team most recently as the Shareholder.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Beatrice Philippe Shareholder, chairman of board, managing director and president 1 Sep 1981 75% - 100% 4349460
Michel Raud Shareholder, director and managing director 1 Mar 1990 Other 4349685
Douglas Alexander Bean Shareholder, vice president, secretary & director 1 Sep 1997 Other 1843079
Zoltan Hankovszky Director 1 Oct 1998 Other 4349603
Garnett Lee Keith Director 1 Oct 1998 Other 1475168
Deborah G George Vice president and director of marketing and client service 1 Mar 1999 Other 720983
James Edward Minnick Director 1 Mar 2001 Other 716204
Progress Putnam Lovell Advisors Llc Shareholder 1 Mar 2001 25% - 50% 95-4820912
Jr. Thurman V. White Director 1 Mar 2001 Other 4378802
Progress Putnam Lovell Ventures Llc Shareholder 1 Mar 2001 25% - 50% 95-4802260
Llc Progress Putnam Lovell Ventures Shareholder 1 Mar 2001 25% - 50% 95-4802260
Carol Consuelo Brooke Director 1 Apr 2002 Other 4347994
Lenore Erber Thornton Senior vice president, director of marketing and client service 1 Jul 2003 Other 446439
Takashi Bayard Moriuchi Director 1 Jan 2004 Other 2813291
Beatrice Philippe Shareholder, chairman of board, managing director, president and chief compliance officer 1 Dec 2007 25% - 50% 4349460
Michel Raud Shareholder, director and managing director 1 Dec 2007 25% - 50% 4349685
Carol Consuelo Brooke Director & shareholder 1 Dec 2007 Other 4347994
Beatrice Philippe Shareholder, chairman of board, managing director, president and chief compliance officer 1 Oct 2008 50% - 75% 4349460
Michel Raud Director and shareholder 1 Aug 2009 Other 4349685
Howard Chin Associate portfolio manager & analyst & shareholder 1 Aug 2009 Other 3023685
Sa Pim Gestion France Shareholder 1 Aug 2009 Other 110570
Jacques Vaysse Managing director and chief operating officer 1 Aug 2009 Other 4345305
Anne Philippe Vaysse Director and shareholder 1 Aug 2009 Other 4345312
Pierre Esmein Director and shareholder 1 Aug 2009 Other 5706473
Philippe Family Partnership Shareholder 1 Aug 2009 Other 13-3872595
Societe Civil Charlie S.A. Shareholder 1 Aug 2009 Other foreign
Anne Philippe Vaysse Director and shareholder 1 Oct 2010 Other 4345312
Paul Bastard Philippe Shareholder 1 Oct 2010 Other 5872058
Louiza Ferrara Vice president 1 Aug 2011 Other 5015992
Fourpoints Investment Managers S.A.S Shareholder 1 May 2012 Other 164612
Jacques Vaysse Shareholder 1 Sep 2012 Other 4345305

Indirect Owners

The SEC currently registers 29 indirect owners.

Name Entity Date acquired Ownership Employer ID
Lf Global Holdings Llc Limited partner 1 Aug 1999 25% - 50% 33-0775952
Highcrest Capital Partners Llc General partner 1 Aug 1999 Other 95-4706384
National Bank Financial & Co Inc. Majority shareholder national bank financial inc. 1 Sep 1999 75% - 100% 00-000000
Groupe Banque Nationale Inc. Majority shareholder national bank financial & co inc. 1 Sep 1999 75% - 100% 00-000000
Banque Nationale Du Canada Majority shareholder groupe banque nationale inc. 1 Sep 1999 75% - 100% 13-2957778
Progress Investment Management Company Shareholder 1 Apr 2000 50% - 75% 109594
Highcrest California Partners Llc Shareholder 1 Apr 2000 50% - 75% 95-4820912
Putnam Lovell Capital Partners Inc. Shareholder 1 Apr 2000 75% - 100% 95-4653753
Putnam Lovell Group Inc. Owner 1 Apr 2000 75% - 100% 95-3283346
Donald Harding Putnam Shareholder 1 Apr 2000 25% - 50% 1065385
Putnam Lovell Nbf Group Inc. Owner 1 Apr 2000 75% - 100% 95-3283346
Progress Putnam Lovell Advisors Llc Sole managing member 1 Apr 2000 Other 95-4802253
Jeffrey Dale Lovell Manager 1 Apr 2000 Other 1095362
James Edward Minnick Manager 1 Apr 2000 Other 716204
Jr. Thurman Vernon White Manager 1 Apr 2000 Other 4378802
Donna Kathleen Gilding Manager 1 Apr 2000 Other 4379194
California Public Employees Retirement System Non-managing member 1 Apr 2000 75% - 100% 94-6207465
Progress Lovell Minnick Advisors Llc Sole managing member 1 Apr 2000 Other 95-4802253
Fleet National Bank Parent company 1 May 2000 75% - 100% 04-2472499
Inc. Columbia Management Group Parent company 1 May 2000 75% - 100% 01-0547933
Fleet/Liberty Holdings Sole shareholder of progress investment management company 1 Nov 2001 75% - 100% 00-0000000
Fleet National Bank Sole shareholder of fleet/liberty holdings, inc. 1 Nov 2001 75% - 100% 04-2472499
Fleetboston Financial Corporation Sole shareholder of fleet national bank 1 Nov 2001 75% - 100% 05-0341324
Inc. National Bank Financial Sole shareholder of putnam lovell nbf group, inc. 1 Jun 2002 75% - 100% 00-000000
Lovell Minnick Partners Llc Sole managing member 1 Feb 2004 Other 20-0493456
Lovell Minnick Holdings Llc Sole managing member 1 Feb 2004 Other 20-0498914
Jeffrey Dale Lovell Co-managing member 1 Feb 2004 50% - 75% 1095362
James Edward Minnick Co-managing member 1 Feb 2004 25% - 50% 716204
Jose Patricio Balagot Manager 1 Aug 2005 Other 4379393

Based in New York

The principal office where Philippe Investment Management, Inc performs its advisory services is located at One Penn Plaza, New York, NY 10119, 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 212-687-3290 or by fax 212-687-3418. The normal business hours are 9:00am-5:30pm on Monday - Friday. You can find more information about the New York firm at www.philippe-group.com.

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