National Asset Management

Company Profile

National Asset Management is a fund manager in Memphis with $6.50 bn assets under management.

Company profile

Website

www.namadvisorguide.com

Incorporated

Location

Fiscal year end

Industry

SEC CIK

IRS number

911648671

SEC advisor number

801-64837

FINRA CRD number

115927

AUM ?

$6.50 bn (as of 25 Jul 22)

Accounts

16,778 (as of 25 Jul 22)

Employees

337 (335 investment advisory or research)

Address

National Asset Management
200 VESEY STREET
25TH FLOOR
NEW YORK
NY 10281

Office hours

Monday - Friday, 8 AM TO 4:30 PM

Phone

212-417-8000

Brochures

Ownership

Owner	Title	From	%Ownership
National Holdings Corporation	Parent Company	03/2008	> 75%
Watson, Natalia, Tovar	Treasurer	10/2016	< 5%
Mullen, Michael, Anthony	Director	01/2017	< 5%
Koenigsberg, John, a	Director of Operations	05/2017	< 5%
Kowalczyk, Thomas, David	Chief Executive Officer	07/2018	< 5%
Desena, John, Charles	Secretary	12/2017	< 5%
Mullen, Michael, Anthony	Executive Chairman	12/2017	< 5%
Groeneveld, William, Lawrence	Executive Vice President. Chief Compliance Officer	10/2021	< 5%
Kaplan, Henry, Edward	President & Chief Operating Officer	07/2018	< 5%
Kowalczyk, Thomas, David	Director	08/2018	< 5%
B.riley Financial, Inc	Shareholder ( Common Stock)	02/2019	> 75%
Ortega, Daniel	Chief Supervisory Officer	04/2019	< 5%
B.riley Financial, Inc.	Parent	04/2021	> 75%
BR Financial Holdings, LLC	Parent	04/2021	> 75%

Ownership

Fund structure	AUM	Fund type
B. Riley Wealth Advisors, Inc.	$6.50 bn
Innovation X Holdings IV, LLC	$5.09 mm	Private Equity Fund
Innovation X Holdings QP, LLC Series 2018-6	$63.21 mm	Private Equity Fund
Innovation X Holdings QP, LLC Series 2018-6B	$40.33 mm	Private Equity Fund
Innovation X Holdings QP, LLC Series 2019-5	$21.36 mm	Private Equity Fund
Innovation X Holdings Series 2019-4 QP, LLC	$57.32 mm	Private Equity Fund
Innovation X Holdings Series 2019-6 QP, LLC	$44.71 mm	Private Equity Fund
Innovation X Holdings Series 2020-1 QP, LLC	$230.22 mm	Private Equity Fund
Innovation X Holdings Series 2020-2 QP, LLC	$43.81 mm	Private Equity Fund
Innovation X Holdings Series 2020-3 QP, LLC	$31.21 mm	Private Equity Fund
Innovation X Holdings V, LLC	$18.50 mm	Private Equity Fund
Innovation X QP LLC Series 2018-3(SPACE X)	$18.06 mm	Private Equity Fund
Innovation X QP LLC Series I Magic Leap	$106.01 k	Private Equity Fund
Nam Special Situations Fund I QP LLC Series II Palantir	$32.08 mm	Private Equity Fund
Nam Special Situations Fund I QP, LLC Series 2018-6	$36.73 mm	Private Equity Fund
Nam Special Situations Fund I QP, LLC Series F1	$20.20 mm	Private Equity Fund
Nam Special Situations Fund III, LLC Magic Leap Series 1	$77.59 k	Private Equity Fund
Nam Special Situations Fund IV, LLC Wup Series I	$4.56 mm	Private Equity Fund
Nam Special Situations Fund VII, LLC	$347.96 k	Private Equity Fund
NSC Biotech Opportunities Fund, LLC (Series I)		Private Equity Fund
NSC Biotech Opportunities QP Fund, LLC (Series I)		Private Equity Fund
Powermat Partners, LLC	$3.03 k	Private Equity Fund