BIRINYI ASSOCIATES, INC. of WESTPORT, CT is an SEC-registered investment adviser (CRD 107169). Regulatory assets under management: $471.7M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Subscription.
Clients served: High net worth, Pooled vehicles, Corporations.
| Name | Role | Location |
|---|---|---|
| Jeffrey Yale Rubin | DIRECTOR OF RESEARCH; PRESIDENT, DIRECTOR OF RESEARCH, PORTFOLIO MANAGER, CHIEF COMPLIANCE OFFICER AND CHIEF INFORMATION OFFICER; PRESIDENT, PORTFOLIO MANAGER, CHIEF COMPLIANCE OFFICER AND CHIEF INFORMATION OFFICER | — |
| Jennifer J Rubin | TREASURER | — |
| BIRINYI LASZLO | PRESIDENT | — |
| BIRINYI JILL COSTELLOE | TREASURER | — |
| RUBIN JEFFREY YALE | DIRECTOR OF RESEARCH, PORTFOLIO MANAGER AND CHIEF COMPLIANCE OFFICER; DIRECTOR OF RESEARCH, PORTFOLIO MANAGER, CHIEF COMPLIANCE OFFICER AND CHIEF INFORMATION OFFICER; PRESIDENT, DIRECTOR OF RESEARCH, PORTFOLIO MANAGER, CHIEF COMPLIANCE OFFICER AND CHIEF INFORMATION OFFICER | — |
| RUBIN RONALD J | TREASURER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-07-31 | regulatory | THE COMPANY AGREED TO A SETTLED ORDER WITH THE SECURITIES AND EXCHANGE COMMISSION (THE "SEC") IN WHICH THE COMPANY NEITHER ADMITTED NOR DENIED SEC ALLEGATIONS THAT THE COMPANY VIOLATED SECTION 206(2) AND RULE 206(4)-7 OF THE INVESTMENT ADVISERS ACT OF 1940. THE ENTIRE ORDER CAN BE FOUND AT HTTPS://W… | Final | $100K |