# NEWFLEET ASSET MANAGEMENT, LLC

NEWFLEET ASSET MANAGEMENT, LLC of HARTFORD, CT is an SEC-registered investment adviser.

## Registration

- CRD: 104532
- Type: SEC-registered investment adviser
- SEC file number: 801-51559
- Location: ONE FINANACIAL PLAZA, HARTFORD, CT, 06103
- Phone: 877-332-8172
- Latest filing: 2022-03-31
- Regulatory AUM: $10.1B
- Discretionary AUM: $10.1B
- Clients: 28
- Accounts: 26

## Officers, owners & control persons (62)

_Showing 25 of 62 people._

| Name | Role | Location |
| --- | --- | --- |
| SMITH MICHAEL SCOTT | CHIEF COMPLIANCE OFFICER | — |
| GUTIERREZ ALBERT JOSEPH | CIO - FIXED INCOME; CIO - FIXED INCOME; CHAIR EXEC COMM; CIO - FIXED INCOME; EXEC COMM MBR (+2 more) | — |
| STANNARD SUSAN | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | — |
| SPIRANDELLI DIANE | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | — |
| GEE VICTORIA WAI-SHAN | CHIEF FINANCIAL OFFICER | — |
| SHAMIA MARK RAMSEY | CHIEF ADMN OFFICER; CHIEF ADMN OFFICER; EXEC COMM MBR | — |
| COUDEN DOUG SCOTT | DIRECTOR OF EQUITIES & SENIOR PORTFOLIO MANAGER; DIR OF EQUITY; SR PM; EXEC COMM MBR | — |
| AYLWARD GEORGE R | CHIEF EXECUTIVE OFFICER; EXECUTIVE VICE PRESIDENT; PRESIDENT & CHIEF EXECUTIVE OFFICER | — |
| BEERS JOHN HENRY | VICE PRESIDENT & ASST. SECRETARY | — |
| PEASE GLENN H | VICE PRESIDENT, FINANCE & TREASURER | — |
| MENARD PATRICIA A | ASSISTANT VICE PRESIDENT | — |
| AUSTIN SAMUEL M | SR. PORTFOLIO ADVISOR; EXEC COMM MBR | — |
| CARR ERIC JOHN | SENIOR VICE PRESIDENT AND SECRETARY; VICE PRESIDENT AND SECRETARY | — |
| HEANEY TIMOTHY M | SENIOR PORTFOLIO MANAGER - MUNICIPAL SECURITIES; SENIOR VICE PRESIDENT AND SENIOR PORTFOLIO MANAGER - MUNICIPAL SECURITIES | — |
| BONNER DOREEN ALICIA | CHIEF COMPLIANCE OFFICER | — |
| WALTMAN FRANCIS GEORGE | EXECUTIVE VICE PRESIDENT | — |
| ALBRYCHT DAVID LEON | CHIEF INVESTMENT OFFICER - MULTI SECTOR FIXED INCOME STRATEGIES; PRESIDENT AND CHIEF INVESTMENT OFFICER | — |
| KELLEHER CHRISTOPHER JUDE | SENIOR MANAGING DIRECTOR AND HEAD OF INSTITUTIONAL MANAGEMENT | — |
| GO STEVEN SCOTT | CHIEF ADMINSTRATIVE OFFICER | — |
| KIAIE KATHLYNE KNOBLOCH | CHIEF COMPLIANCE OFFICER | — |
| DRIESSEN ROBERT STEVEN | CHIEF COMPLIANCE OFFICER | — |
| HILLS WENDY JACQUELINE | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY | — |
| LASH CONSTANCE GRETCHEN SMITH | CHIEF EXECUTIVE OFFICER; EXEC COMM MBR | — |
| PALMER MARK RICHARD | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER; VICE PRESIDENT AND SENIOR COMPLIANCE OFFICER | — |
| HANLEY DAVID G | VICE PRESIDENT AND TREASURER | — |


## Private funds (2)

| Fund | Type | Formed | Owners | GAV | Min investment |
| --- | --- | --- | --- | --- | --- |
| NEWFLEET CLO 2016-1 LTD. | Securitized Asset Fund | — | 11 | $300.5M | $250K |
| BRODERICK CDO 1 LTD. | Securitized Asset Fund | — | 0 | $174.5M | $250K |


## Fund service providers (1)

- administrator: BNY MELLON TRUST COMPANY, N.A. — 2 funds

## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/104532/brochure
- Similar advisers: https://search.stillhousedata.com/firm/104532/similar
- Related entities: https://search.stillhousedata.com/firm/104532/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/104532

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.