AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $39.1 |
| Non-Discretionary | $0.0 |
| Total | $39.1 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $0.0 |
| Institutional | $39.1 |
| Total | $39.1 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| JPMORGAN CHASE BANK, N.A. | NEW YORK-NY-USA | $31.4 |
| NATIONAL FINANCIAL SERVICES LLC | BOSTON-MA-USA | $0.0 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $39.1 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $39.1 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 1% | $0.4 |
| Govt Agency | 1% | $0.4 |
| Municipal | 4% | $1.6 |
| Sovereign | 0% | $0.0 |
| IG Credit | 42% | $16.4 |
| HY Credit | 2% | $0.8 |
| Derivatives | 3% | $1.2 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 5% | $2.0 |
| Cash | 1% | $0.4 |
| Other | 41% | $16.0 |
| Total | 100% | $39.1 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| EQUITY SERVICES, INC. | $2.5 | broker-dealer | 265 |
| CATAMOUNT REINSURANCE COMPANY | $0.0 | - | |
| LIFE INSURANCE COMPANY OF THE SOUTHWEST | $0.0 | - | |
| NATIONAL LIFE DISTRIBUTION, LLC | $0.0 | - | |
| NATIONAL LIFE INSURANCE COMPANY | $0.0 | - | |
| LONGHORN REINSURANCE COMPANY | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
9 active
| Name | Title |
|---|---|
| MULLER, LISA, FRANCESCA | DIRECTOR, VICE PRESIDENT, SENIOR COUNSEL, SECRETARY & CHIEF LEGAL OFFICER |
| ASSADI, MEHRAN | CHAIR, DIRECTOR |
| COTTON, ROBERT, EARL | DIRECTOR, PRESIDENT & CEO |
| DOIRON, JASON, JOSEPH | EXECUTIVE VICE PRESIDENT |
| MATEJA, GREG, M. | VICE PRESIDENT & TREASURER |
| TEESE, GREGORY, DWIGHT | CHIEF COMPLIANCE OFFICER |
| TROJANO, PETER, DOMINIC | VICE PRESIDENT |
ADVDB.CO • SOURCE: SEC
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $39.1 | $0.0 | 0% | 44 | 0 | 0% |
| 2025-04-21 | $39.1 | $0.0 | 0% | 44 | 0 | 0% |
| 2024-04-02 | $35.9 | $3.2 | 9% | 43 | 1 | 2% |
| 2023-04-04 | $31.4 | $7.7 | 25% | 50 | -6 | -12% |
| 2022-04-01 | $35.6 | $3.5 | 10% | 29 | 15 | 52% |
| 2021-04-05 | $33.9 | $5.2 | 15% | 36 | 8 | 22% |
| 2020-04-01 | $31.3 | $7.8 | 25% | 39 | 5 | 13% |
| 2019-04-01 | $25.7 | $13.4 | 52% | 50 | -6 | -12% |
| 2018-04-02 | $26.6 | $12.5 | 47% | 47 | -3 | -6% |
| 2017-04-01 | $28.2 | $10.9 | 39% | 60 | -16 | -27% |
| 2016-04-01 | $27.3 | $11.8 | 43% | 50 | -6 | -12% |
| 2015-04-01 | $27.5 | $11.6 | 42% | 50 | -6 | -12% |
| 2014-04-01 | $27.0 | $12.1 | 45% | 45 | -1 | -2% |
| 2013-04-01 | $27.0 | $12.1 | 45% | 45 | -1 | -2% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| VT, TX-09/01/2015, VT-01/02/2002 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV