Citigroup Global Markets Inc.

Broker-DealerFINRA MemberEst. 1964

Total AUM

$56B

Discretionary

$35B

62% of AUM

Accounts

59,757

Employees

7,036

Advisory reps

6,761

Brokerage reps

5,004

Firm details

Headquarters: New York, New York
CRD number: 7059
Registered since: February 23, 1964
Website: www.citigroup.com
Custodians: PERSHING LLC, CITI PRIVATE BANK
Fee structure: Percentage of AUM, Fixed Fees
Client types: HNWI57.05%
Individuals17.04%
Corporations / Businesses11.91%
Pooled Investment Vehicles5.32%
State / Municipal Government5.07%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersPublication of PeriodicalsSecurity Ratings / Pricing Services

Firm profile

FINTRX

Overview

Citigroup Global Markets Inc. is a bank-affiliated investment bank and broker-dealer that serves both individual/family and institutional clients. The firm operates with a mix of fee models, including percentage-of-AUM and fixed fees, and performs a broad set of capital markets and advisory functions: broker-dealer activity, futures commission merchant functions, CPO/CTA services, and registration as a security‑based swap dealer. On the advisory side it provides financial planning, portfolio management for individuals, pooled vehicles and institutions, pension consulting, manager selection, and related publishing and pricing services. The firm is identified as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Public Funds/Mutual Funds48%
Exchange Traded Equities30%
State & Local Bonds8%
US Government Bonds7%
Investment Grade Corp Bonds2%

Owners & executives

3 of 35

Kenneth Swiss
Chief Administrative OfficerCRD 5432303
Sachin Mathur
Chief Operating OfficerCRD 6257676
Katherine Moore
Chief Investment OfficerCRD 4720543

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Contacts

3 of 6726

Leonardo Diaz
BankerCRD 5515939
Yulia Sotneva
Co-PresidentCRD 6543808
Matthew Pollack
Senior Vice PresidentCRD 4543224

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 992

Active vs passive

$35.4B in ETFs

Passive

98%

$34.7B

Active

2%

$673M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
ISHARES RUSSELL 2000 ETF (IWM)	BlackRock	Passive	Small Blend	$2.1B	8,469,615	5.93%

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Primary office

New York, NY

New York

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area: New York-Newark, NY-NJ-CT-PA
Region: Northeast
County: New York
Address: 388 Greenwich St
Time zone: ET (UTC-5)
Office locations

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