# TRAIN, BABCOCK ADVISORS LLC

TRAIN, BABCOCK ADVISORS LLC of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 106018
- Type: SEC-registered investment adviser
- SEC file number: 801-10571
- Location: 757 THIRD AVENUE, 27TH FLOOR, NEW YORK, NY, 10017
- Phone: 212-451-3400
- Latest filing: 2017-04-25
- Regulatory AUM: $434.1M
- Discretionary AUM: $426.2M
- Non-discretionary AUM: $8.0M
- Clients: 9
- Accounts: 558

## Officers, owners & control persons (16)

| Name | Role | Location |
| --- | --- | --- |
| TRAIN JOHN | MEMBER | — |
| BABCOCK HENRY DENISON | CHAIRMAN; MEMBER; MEMBER, CHIEF EXECUTIVE OFFICER, PRESIDENT | — |
| ROGICKI JOHN HENRY | CHIEF COMPLIANCE OFFICER; CO-MANAGING MEMBER, MANAGING DIRECTOR; MEMBER (+1 more) | — |
| KEENAN BRIAN JOHN | CO-MANAGING MEMBER,; MEMBER,; MEMBER, CHIEF EXECUTIVE OFFICER (+2 more) | — |
| FREEMAN NEAL B | CHAIRMAN, BOARD OF ADVISERS | — |
| DICK ANTHONY | MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | — |
| RAVIOL PAMELA LEE WHITE | CO-MANAGING MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE; MANAGING MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE; MEMBER, DIRECTOR, INVESTMENT ADVISER REPRESENTATIVE | — |
| COLLINS ISABEL | MEMBER; MEMBER; DIRECTOR; INVESTMENT ADVISER REPRESENTATIVE | — |
| YOUNES MOHAMED SALEH | OWNER; PRESIDENT | — |
| MCGLINN TIMOTHY JOSEPH | MEMBER, SENIOR RESEARCH ANALYST | — |
| SKVARLA JOHN ANDREW | CHIEF FINANCIAL OFFICER | — |
| MONTAGUE DIANE | CHIEF INVESTMENT OFFICER; CIO | — |
| HOFBAUER PETER JOSEPH | CHIEF FINANCIAL OFFICER | — |
| ROGICKI JOHN | MEMBER, MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | — |
| TEVLETIDIS ARTHUR C | CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER; CHIEF OPERATIONS OFFICER | — |
| Hoffman Geraldine | CHIEF FINANCIAL OFFICER; MANAGING DIRECTOR | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/106018/brochure
- Similar advisers: https://search.stillhousedata.com/firm/106018/similar
- Related entities: https://search.stillhousedata.com/firm/106018/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/106018

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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.