FNY Investment Advisers LLC

FNY Investment Advisers LLC, a DE Limited Liability Company, operates with a sizable team of 175 employees, of which 125 are in advisory roles. While the number of clients they serve is unknown, they maintain an approved SEC status with a registration date as recently as April 2018.

• DAVID STEVEN ABRAMSON

  INVESTMENT COMMITTEE MEMBER owns less than 5%

• DONALD ERIC MOTSCHWILLER

  MANAGING MEMBER, CEO AND CHAIR OF THE INVESTMENT COMMITTEE owns less than 5%

• DONNA ANN ERRIGO

  CHIEF OPERATIONS OFFICER AND CHIEF FINANCIAL OFFICER owns less than 5%

• FERDINAND M DI MARIA

  CHIEF RISK OFFICER & INVESTMENT COMMITTEE MEMBER owns less than 5%

• FNY HOLDINGS, LLC

  MEMBER owns 75% or more

• SANDRO M POLVERINO

  CHIEF TECHNOLOGY OFFICER owns less than 5%

• SHAWN FISCHMAN

  CHIEF COMPLIANCE OFFICER owns less than 5%

• MICHAEL LAWRENCE FRIEDMAN

  MEMBER AND EXECUTIVE BOARD MEMBER owns more than 25% but less than 50%

• ABN AMRO SECURITIES (USA) LLC
  United States
• APEX CLEARING CORPORATION
  United States
• BANK OF AMERICA, N.A.
  United States
• BNP PARIBAS SECURITIES CORP.
  United States
• CREDIT SUISSE INTERNATIONAL
  United Kingdom
• CREDIT SUISSE SECURITIES (EUROPE) LIMITED
  United Kingdom
• CREDIT SUISSE SECURITIES (USA) LLC
  United States
• E D & F MAN CAPITAL MARKETS INC.
  United States
• INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
  United States
• NOMURA INTERNATIONAL PLC
  United Kingdom
• UBS AG
  United States

• Alternative Investment Management LLC
• Mountaineer Partners Management LLC
• ECHO Street Capital Management LLC
• Compass ROSE Asset Management LP
• Harbourview Asset Management Corporation
• KIRKOSWALD ASSET MANAGEMENT LLC
• Marshall WACE North America LP
• GAM USA Inc
• Cornell Capital LLC
• Mangrove Partners

• FNY Investment Advisers, LLC Q3 2023 vs. Q4 2023 13F Holdings Comparison
• FNY Investment Advisers, LLC Q2 2023 vs. Q3 2023 13F Holdings Comparison
• FNY Investment Advisers, LLC Q1 2023 vs. Q2 2023 13F Holdings Comparison
• FNY Investment Advisers, LLC Q4 2022 vs. Q1 2023 13F Holdings Comparison

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