SECOR INVESTMENT MANAGEMENT, LP

RIASEC RegisteredEst. 2011
Total AUM
$2.2B
Discretionary
$2.2B
99% of AUM
Avg account
$197M
Accounts
11
Employees
38
Advisory reps
4

Firm details

Headquarters
New York, New York
CRD number
155919
Registered since
January 11, 2011
Custodians
THE BANK OF NEW YORK MELLON
Fee structure
Percentage of AUM, Fixed Fees, Performance Based Fees, Other
Client types
  • Pension & Profit Sharing Plans60.97%
  • Pooled Investment Vehicles38.36%
  • Charitable Organizations0.68%
Services
Portfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsSelection of Other Advisers

Firm profile

FINTRX

Overview

Secor Investment Management, LP is a limited partnership that acts as a capital allocator for institutional clients. The firm operates as a portfolio manager for pooled investment vehicles and for businesses or institutions, and it also selects and oversees other advisers. Its regulatory profile includes activities typical of CPO/CTA firms, which suggests experience with pooled commodity or derivative strategies in addition to traditional asset management. Fee arrangements include percentage-of-AUM, fixed fees and performance-based fees, indicating the firm can structure compensation around both asset management and incentive-based outcomes. Investment behavior points to a conservative, liquidity-aware posture at the managed-account level: a large portion of reported SMA assets sits in cash and cash equivalents. At the same time, the firm uses third-party alternative managers—specifically hedge funds and real estate strategies—so it blends internal allocation and manager selection with external active management. The client base is institutional and concentrated, which generally favors bespoke mandate design, customized reporting and limited-client servicing rather than retail scale distribution.

Assets & Accounts

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Cash & Cash Equivalents 92%, Derivatives 7%, Public Funds/Mutual Funds 1%92%
  • Cash & Cash Equivalents92%
  • Derivatives7%
  • Public Funds/Mutual Funds1%

Owners & executives

1 of 1
  • TONY DUEN-LI KAO

    Managing Principal and Chief Investment OfficerCRD 5705474

Contacts

3 of 3
  • DAWN DRAKEFORD

    Director of FinanceCRD 7889161

  • MATT GILLIS

    Head of InfrastructureCRD 7889164

  • PATTIE HAND

    General Counsel & CCOCRD 5181558

Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

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
1290 Avenue of the Americas
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth