Inactive

William Friedrich Patterson

Neville, Rodie & Shaw Inc

CRD 4992177

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Employer firm

Neville, Rodie & Shaw Inc CRD 104969

$2.00B regulatory AUM

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

Current Employers

Neville, Rodie & Shaw Inc

200 Madison Ave, New York, NY 10016-3903 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2022-01-24

NY RA
APPROVED

Since 2022-01-24

Branch Locations

200 Madison Ave, New York, NY 10016-3903 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lebenthal Asset Management Llc	New York	NY	10/2016	12/2018
Lebenthal Wealth Advisors Llc	New York	NY	08/2014	10/2016
Gsb Wealth Management, Llc	Guilford	CT	01/2019	09/2021
Neville, Rodie & Shaw	New York	NY	09/2021	Present

10/2016 → 12/2018

Lebenthal Asset Management Llc

New York, NY
08/2014 → 10/2016

Lebenthal Wealth Advisors Llc

New York, NY
01/2019 → 09/2021

Gsb Wealth Management, Llc

Guilford, CT
09/2021 → Present

Neville, Rodie & Shaw

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2022-01-24

S65 Uniform Investment Adviser Law Examination

2022-01-24

View on SEC IAPD

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