Travelers Investment Adviser,Inc. (New York)

Travelers Investment Adviser,Inc. is a large advisory firm based in New York. It manages $2.26 billion of regulatory assets for 6 client accounts. It has been registered with the SEC as an adviser since 2001.

Travelers Investment Adviser provides portfolio management for investment companies and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Travelers Investment Adviser: assets under management

The assets under management (AUM) of Travelers Investment Adviser,Inc. is $2.26 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -37% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $2.26 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $377.32 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Travelers Investment Adviser,Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Travelers Investment Adviser,Inc.

Arthur George Saks has been acting as President since 1 Jun 1996. Virgil H. Cumming has served as the Chief Investment Officer since 1 Sep 1997. Michael Kevin Farrell joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Heath Brian Mclendon	Chairman, president and chief executive officer	1 Jun 1996	Other	329444
Lewis Eugene Daidone	Director and senior vice president	1 Jun 1996	Other	1245233
Arthur George Saks	Director	1 Jun 1996	Other	409167
Christina Theodozia Sydor	General counsel and secretary	1 Jun 1996	Other	1601187
William Hedges White	Treasurer	1 Jun 1996	Other	1475878
Plaza Llc	Sole shareholder of applicant	1 Jun 1996	75% - 100%	06-0800110
Virgil H. Cumming	Chief investment officer	1 Sep 1997	Other	4332892
Virgil Howard Cumming	Chief investment officer	1 Sep 1997	Other	4332892
Jeffrey Hiller	Chief compliance officer	1 Apr 2000	Other	2612970
Robert P Wallace	Director	1 Nov 2001	Other	4518922
Robert Peter Wallace	Director	1 Nov 2001	Other	4518922
Judith Addazio	Treasurer	1 Aug 2002	Other	4579613
Judith Anne Addazio	Treasurer	1 Aug 2002	Other	4579613
Robert Jay Gerken	Chairman, president and chief executive officer	1 Sep 2002	Other	1340228
Andrew Thomas Beagley	Chief compliance officer	1 Mar 2003	Other	4606683
Robert Blair Shepler	Director	1 Feb 2004	Other	4032042
Thomas Christopher Mandia	General counsel and secretary	1 Feb 2004	Other	4757118
Harry David Cohen	Chief investment officer	1 Feb 2004	Other	49893
Michael Kevin Farrell	Director	1 Jul 2005	Other	854508
Elizabeth Mary Forget	President & director	1 Jul 2005	Other	2767945
Hugh Charles Mchaffie	Director	1 Jul 2005	Other	4752695
Anthony James Williamson	Treasurer	1 Jul 2005	Other	4601252
Richard Carl Pearson	Secretary	1 Jul 2005	Other	1270673
Leonard Mark Bakal	Chief compliance officer	1 Jul 2005	Other	2537778
Paul Gerard Cellupica	Vice president & chief legal officer	1 Jul 2005	Other	5002602

Indirect Owners

The SEC currently registers 7 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Citigroup Inc.	Sole shareholder of associated	1 Dec 1988	75% - 100%	52-1568099
The Travelers Insurance Group Inc.	Sole shareholder of tic	1 May 1994	75% - 100%	06-1008174
Inc. Associated Madison Companies	Sole shareholder of pfs	1 Nov 1994	75% - 100%	13-3140258
Inc. Pfs Services	Sole shareholder of tig	1 Sep 1995	75% - 100%	58-1708749
The Travelers Insurance Company	Sole shareholder of plaza	1 Mar 1996	75% - 100%	06-0566090
Inc.) Citigroup Insurance Holding Corporation ("Cihc")(F/K/A Pfs Services	Sole shareholder of tic	1 Aug 2002	75% - 100%	58-1708749
Inc. Metlife	Sole shareholder	1 Jul 2005	75% - 100%	13-4075851

Based in New York

The principal office where Travelers Investment Adviser,Inc. performs its advisory services is located at 260 Madison Avenue, New York, NY 10016 The mailing address of the firm is 27 01 Queens Plaza North, New York, NY 11101. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 212-413-4875 or by fax 212-413-4891. The normal business hours are 9 a.m. to 5 p.m. on Monday - Friday.