CANTOR FITZGERALD INVESTMENT ADVISORS, L.P. of NEW YORK, NY is an SEC-registered investment adviser (CRD 159296). Regulatory assets under management: $3.2B.
Compensation: % of AUM, Hourly, Fixed, Performance, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Investment cos.
Showing 25 of 39 people.
| Name | Role | Location |
|---|---|---|
| Bruce D Thomas | SR MANAGING DIRECTOR | Madison, WI |
| John David Brim | CO-CHIEF INVESTMENT OFFICER | Dallas, TX |
| Walter Desmond Karle | CHIEF COMPLIANCE OFFICER | — |
| William Joseph Ferri | GLOBAL HEAD OF ASSET MANAGEMENT | — |
| Danny H Salinas | CHIEF FINANCIAL OFFICER | — |
| Adam Marc Brajer | GENERAL COUNSEL AND SECRETARY | — |
| Brandon Gerald Lutnick | CHIEF EXECUTIVE OFFICER; CONTROLLING TRUSTEE | — |
| Ryan G Lutnick | TRUSTEE | — |
| Kyle S Lutnick | TRUSTEE | — |
| Casey J Lutnick | TRUSTEE | — |
| Herbert William Morgan | PORTFOLIO MANGER AND SR MANAGING DIRECTOR; SR MANAGING DIRECTOR | — |
| John Thomas Bruce | PORTFOLIO MANAGER AND SR MANAGING DIRECTOR; SR MANAGING DIRECTOR | — |
| Christopher Alan Milner | CO-CHIEF INVESTMENT OFFICER | — |
| Kenneth Michael Paulson | CHIEF FINANCIAL OFFICER | — |
| Howard William Lutnick | SOLE TRUSTEE | — |
| Stephen Marcus Merkel | GENERAL COUNSEL AND SECRETARY | — |
| Michael Gerard Millard | EXECUTIVE VICE PRESIDENT | — |
| Mark Elliot Kaplan | CHIEF EXECUTIVE OFFICER | — |
| BARNARD DOUGLAS RANKIN | CHIEF FINANCIAL OFFICER | — |
| GOLDFARB DAVID | GLOBAL HEAD OF ASSET AND WEALTH MANAGEMENT | — |
| MILLARD MICHAEL GERARD | EXECUTIVE VICE PRESIDENT; GLOBAL HEAD OF ASSET MANAGEMENT | — |
| MORGAN HERBERT WILLIAM | SR MANAGING DIRECTOR | — |
| HART KENNETH MICHAEL | CHIEF COMPLIANCE OFFICER | — |
| KAPLAN MARK ELLIOT | CHIEF EXECUTIVE OFFICER | — |
| FERRI WILLIAM JOSEPH | GLOBAL HEAD OF ASSET MANAGEMENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-12-12 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE THAT CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST CANTOR FITZGERALD, L.P. ("CFLP"). IN ANTICIPATION OF THE INSTITUTION OF THESE PROCEEDINGS, CFLP HAS SUBMITTED AN OFFER OF SETTLEMENT WHICH THE COMMISSIO… | Final | $6.8M |
| — | regulatory | — | — | — |