# VAN ECK ASSOCIATES CORPORATION

VAN ECK ASSOCIATES CORPORATION of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 105080
- Type: SEC-registered investment adviser
- SEC file number: 801-21340
- Location: 666 THIRD AVENUE, 9TH FLOOR, NEW YORK, NY, 10017-4033
- Phone: 212-293-2000
- Latest filing: 2026-03-30
- Regulatory AUM: $125.6B
- Discretionary AUM: $125.6B
- Clients: 292
- Accounts: 145

## Business model

- Compensation: % of AUM, Performance
- Clients served: Pooled vehicles, Investment cos, Other

## Officers, owners & control persons (29)

_Showing 25 of 29 people._

| Name | Role | Location |
| --- | --- | --- |
| Lee Robert Rappaport | VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER | New York, NY |
| Jonathan Rich Simon | SENIOR VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | New York, NY |
| Bruce John Smith | DIRECTOR | New York, NY |
| Francesco Michael Gozzillo | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | New York, NY |
| Simon F Rich | SENIOR VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY; VICE PRESIDENT AND ASSISTANT SECRETARY; VICE PRESIDENT, ASSOCIATE GENERAL COUNSEL AND ASSISTANT SECRETARY (+1 more) | Cambridge, MA |
| Simon Rich | VICE PRESIDENT AND ASSISTANT SECRETARY | Cambridge, MA |
| Jan Frederick Vaneck | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR/TRUSTEE | — |
| William Alexander Ullman | DIRECTOR | — |
| Robert Rudoy Grusky | DIRECTOR/TRUSTEE | — |
| LYNCH THOMAS KEVIN | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER; VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| SQUITIERI JANET | VICE PRESIDENT, GLOBAL HEAD OF COMPLIANCE AND CHIEF COMPLIANCE OFFICER | — |
| GOZZILLO FRANCESCO MICHAEL | CHIEF COMPLIANCE OFFICER; VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| MAXEY PATRICIA ANN | CHIEF COMPLIANCE OFFICER | — |
| CARLSON THOMAS JAMES | PRESIDENT | — |
| VANECK SIGRID SABOTTGE | DIRECTOR AND OWNER; DIRECTOR, OWNER, VICE PRESIDENT AND TREASURER; OWNER | — |
| VANECK DEREK STEVEN | AS OF 9/30/2010, MR VAN ECK'S SHARES ARE BEING HELD BY HIS ESTATE; EXECUTIVE VICE PRESIDENT, DIRECTOR, OWNER & CHIEF INVESTMENT OFFICER; EXECUTIVE VICE PRESIDENT, DIRECTOR, OWNER, CHIEF INVESTMENT OFFICER, & CO-CHIEF EXECUTIVE OFFICER (+2 more) | — |
| VANECK JAN FREDERICK | CHAIRMAN & CEO; CHAIRMAN, PRESIDENT, DIRECTOR AND PRINCIPAL; DIRECTOR AND OWNER (+6 more) | — |
| ELWOOD THOMAS HENRY | VICE PRESIDENT, SECRETARY AND COMPLIANCE OFFICER | — |
| SMITH BRUCE JOHN | DIRECTOR; SENIOR VICE PRESIDENT,  CHIEF FINANCIAL OFFICER, TREASURER, CONTROLLER AND DIRECTOR; SENIOR VICE PRESIDENT, TREASURER AND CHIEF FINANCIAL OFFICER (+1 more) | — |
| VANECK JOHN CAREL | CHAIRMAN AND DIRECTOR; CHAIRMAN, OWNER & DIRECTOR; SHAREHOLDER | — |
| MCBRIEN JOSEPH JAMES | GENERAL COUNSEL; SENIOR VICE PRESIDENT AND GENERAL COUNSEL; SENIOR VICE PRESIDENT, CHIEF LEGAL OFFICER, GENERAL COUNSEL AND SECRETARY (+4 more) | — |
| LESZCZYNSKI THADDEUS MARION | CHIEF COMPLIANCE OFFICER | — |
| FLETCHER KEITH ARTHUR | EXECUTIVE VICE PRESIDENT | — |
| BINGHAM HENRY JOSEPH | EXECUTIVE MANAGING DIRECTOR | — |
| ULLMAN WILLIAM ALEXANDER | DIRECTOR; DIRECTOR OF VAN ECK ASSOCIATES CORPORATION AND CEO OF ORCHARD PLATFORM MARKETS, LLC | — |


## Disclosures (3)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2024-02-16 | regulatory | ON FEBRUARY 16, 2024, VAN ECK ASSOCIATES CORPORATION ("VEAC"), WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESOLVED AN U.S. SECURITIES & EXCHANGE COMMISSION (THE "SEC") PROCEEDING WITH RESPECT TO CERTAIN ALLEGED VIOLATIONS BY VEAC OF SECTIONS 206(2) AND 206(4) OF THE INVESTMENT ADVISERS ACT OF 194… | Final | $1.8M |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/105080/brochure
- Similar advisers: https://search.stillhousedata.com/firm/105080/similar
- Related entities: https://search.stillhousedata.com/firm/105080/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/105080

---

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.