Ice Data Pricing & Reference Data, Llc
- Regulatory AUM
- —
- Discretionary
- —
- Clients
- 1,992
- Avg AUM / client
- —
- Accounts
- —
- Employees
- 306
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Banking or thrift institutions | 283 | $0 | — |
| Investment companies | 12 | $0 | — |
| Pooled investment vehicles (non-investment companies) | 4 | $0 | — |
| Charitable organizations | 10 | $0 | — |
| State or municipal government entities | 59 | $0 | — |
| Other investment advisers | 810 | $0 | — |
| Insurance companies | 107 | $0 | — |
| Sovereign wealth funds and foreign official institutions | 5 | $0 | — |
| Corporations and other businesses | 698 | $0 | — |
| Other | 4 | $0 | — |
People (5)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Bell, Brian, Lane | Treasurer | Jul 2016 (10y) | Less than 5% | |
| O'rourke, Andrea, Lorin | Secretary & Vice President Legal | Oct 2016 (10y) | Less than 5% | |
| Mcmaster, Michael, Gerard | Chief Compliance Officer | Apr 2022 (4y) | Less than 5% | |
| Heckert, Mark, Jonathan | Chief Operating Officer, Data Services | Jan 2024 (3y) | Less than 5% | |
| Krupa, Christopher, Paul | President | May 2024 (2y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Ice Data Services, Inc. | Sole Member Of Applicant | Jun 2012 | A | 75% or more |
| Igloo Intermediate Corporation | Shareholder | Jul 2010 | B | ≈ 56.25% – 100% via Ice Data Services, Inc. |
| Interactive Data Holdings Corporation | Shareholder | Jul 2010 | B | ≈ 42.19% – 100% via Igloo Intermediate Corporation |
| Intercontinental Exchange, Inc. | Shareholder | Dec 2015 | B | ≈ 31.64% – 100% via Interactive Data Holdings Corporation |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Igloo Intermediate Corporation: 75% – 100% of Ice Data Services, Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Interactive Data Holdings Corporation: 75% – 100% of Igloo Intermediate Corporation × 75% – 100% of Ice Data Services, Inc. × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Intercontinental Exchange, Inc.: 75% – 100% of Interactive Data Holdings Corporation × 75% – 100% of Igloo Intermediate Corporation × 75% – 100% of Ice Data Services, Inc. × 75% – 100% direct ≈ 31.64% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/18/2026 | 1.62 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THE SEC ALLEGED A VIOLATION BY ICE DATA PRICING & REFERENCE DATA, LLC OF SECTION 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 AND RULE 206(4)-7 THEREUNDER RELATING TO THE SEC'S ALLEGATIONS THAT ICE DATA PRICING & REFERENCE DATA, LLC FAILED TO ADOPT AND IMPLEMENT POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT VIOLATIONS OF THE INVESTMENT ADVISERS ACT OF 1940 AND THE RULES THEREUNDER IN CONNECTION WITH ICE DATA PRICING & REFERENCE DATA, LLC'S DELIVERY OF BROKER QUOTED PRICES FOR CERTAIN CATEGORIES OF FIXED INCOME SECURITIES FOR WHICH IT DID NOT HAVE SUFFICIENT INFORMATION TO PRODUCE AN EVALUATED PRICE. Status: Final Sanction Detail: ICE DATA PRICING & REFERENCE DATA, LLC (THE "COMPANY") SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 AND RULE 206(4)-7 PROMULGATED THEREUNDER. THE COMPANY WAS CENSURED AND REQUIRED WITHIN 10 DAYS OF THE ENTRY OF THE SEC ORDER TO PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $8,000,000, WHICH WAS RELEASED TO THE SEC ON 12/11/2020. Summary: ON DECEMBER 9, 2020, THE SEC INSTITUTED AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTIONS 203(E) AND 203(K) OF THE INVESTMENT ADVISERS ACT OF 1940, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER. THE SANCTIONS IMPOSED ARE DESCRIBED ABOVE. ICE DATA PRICING & REFERENCE DATA, LLC NEITHER ADMITTED NOR DENIED THE ALLEGATIONS SET FORTH IN THE SEC ORDER.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Fixed fees
- • Other fees
- • SEE PART 2A, ITEMS 5 AND 14.
Services
- • Security ratings or pricing services
- • Other services
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 18, 2026.
View current Form ADV (SEC/IAPD) ↗