# JEFFERIES INVESTMENT ADVISERS LLC

JEFFERIES INVESTMENT ADVISERS LLC of NEW YORK, NY is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 325421
- Type: SEC-registered investment adviser
- SEC file number: 801-127656
- Location: 520 MADISON AVENUE, NEW YORK, NY, 10022
- Phone: 212-284-2300
- Latest filing: 2026-06-22
- Regulatory AUM: $5.2B
- Discretionary AUM: $4.7B
- Non-discretionary AUM: $466.9M
- Clients: 119
- Accounts: 2,020

## Business model

- Compensation: % of AUM, Fixed
- Clients served: Individuals, High net worth, Pooled vehicles, Charities

## Officers, owners & control persons (13)

| Name | Role | Location |
| --- | --- | --- |
| Sonia Han Levovitz | SECRETARY | — |
| Robert Vincent Peyreigne | MANAGING DIRECTOR- CO-PRESIDENT | — |
| Michael Joseph Pagano | MANAGING DIRECTOR- CO-PRESIDENT | — |
| Laurie R Goodman | MANAGING DIRECTOR-HEAD OF INVESTMENT & WEALTH SOLUTIONS | — |
| David J Nagy | CHIEF COMPLIANCE OFFICER | — |
| Franklyn Johnson Collymore | SENIOR VICE PRESIDENT, HEAD OF WEALTH MANAGEMENT SUPERVISION & RISK | — |
| GOODMAN MARK R | MANAGING DIRECTOR-HEAD OF INVESTMENT & WEALTH SOLUTIONS | — |
| PAGANO MICHAEL JOSEPH | MANAGING DIRECTOR- CO-PRESIDENT | — |
| PEYREIGNE ROBERT VINCENT | MANAGING DIRECTOR- CO-PRESIDENT | — |
| LEVOVITZ SONIA HAN | SECRETARY | — |
| NAGY DAVID J | CHIEF COMPLIANCE OFFICER | — |
| LIMROTH GEOFFREY SCOTT | MANAGING DIRECTOR- WEALTH MANAGEMENT CHIEF OPERATING OFFICER | — |
| COLLYMORE FRANKLYN JOHNSON | SENIOR VICE PRESIDENT, HEAD OF WEALTH MANAGEMENT SUPERVISION & RISK | — |


## Disclosures (3)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2022-11-09 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, SERURE CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE BORROWED A TOTAL OF APPROXIMATELY $7.3 MILLION FROM HIS CUSTOMERS WITHOUT PROVIDING NOTICE TO AND RECEIVING PRE-APPROVAL FROM HIS MEMBER FIRMS. THE FINDINGS STATED THAT SERURE WAS NEVER… | Final | $20K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/325421/brochure
- Similar advisers: https://search.stillhousedata.com/firm/325421/similar
- Related entities: https://search.stillhousedata.com/firm/325421/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/325421

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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.