Newfound Investments, LLC (Hartford)

Name: Newfound Investments, LLC
Address: 100 Pearl Street, Hartford, CT, 06103
Telephone: 800-248-7971

Newfound Investments, LLC is an investment adviser to an investment company based in Hartford. It manages $6.02 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdiction of Connecticut.

Newfound Investments provides portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Newfound Investments: assets under management

The assets under management (AUM) of Newfound Investments, LLC is $6.02 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 101% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $6.02 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.01 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Newfound Investments, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Newfound Investments, LLC

Corey Michael Hoffstein has served as the Chief Investment Officer since 1 Oct 2012. James Robert Sena joined the executive team most recently as the Vice President And Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Virtus Partners	Member	1 Jul 2012	50% - 75%	95-4191764
Newfound Research Llc	Member	1 Oct 2012	25% - 50%	159064
Michael Aaron Angerthal	Manager & executive vice president and treasurer	1 Oct 2012	Other	5632934
George Robert Aylward	Manager & president & chairman	1 Oct 2012	Other	4932163
Kevin John Carr	Senior vice president and secretary	1 Oct 2012	Other	2483633
Mark Stephen Flynn	Executive vice president, general counsel and assistant secretary	1 Oct 2012	Other	5941225
David Elliot Fusco	Vice president, compliance	1 Oct 2012	Other	2476566
David George Hanley	Vice president and assistant treasurer	1 Oct 2012	Other	5455435
Corey Michael Hoffstein	Chief investment officer	1 Oct 2012	Other	6014681
Francis George Waltman	Executive vice president	1 Oct 2012	Other	1778566
Thomas Brian Rosedale	Manager	1 Oct 2012	Other	5909878
Michael A Angerthal	Manager & executive vice president and treasurer	1 Oct 2012	Other	5632934
George R. Aylward	Manager & president & chairman	1 Oct 2012	Other	4932163
Mark S Flynn	Executive vice president, general counsel and assistant secretary	1 Oct 2012	Other	5941225
David G Hanley	Vice president and assistant treasurer	1 Oct 2012	Other	5455435
Timothy John Branigan	Vice president and chief compliance officer	1 Mar 2013	Other	5980557
Yvonne I (Mi Only) Pytlik	Corporate head of compliance	1 Jun 2013	Other	4337433
Yvonne I Pytlik	Corporate head of compliance	1 Jun 2013	Other	4337433
James Robert Sena	Vice president and chief compliance officer	1 Apr 2015	Other	2735258

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Newfound Holdings Llc	Member	1 Aug 2008	50% - 75%	27-3063616
Thomas Brian Rosedale	Member	1 Aug 2008	50% - 75%	5909878
David Jay Morton	Member	1 Aug 2008	25% - 50%	2238613
Inc. Virtus Investment Partners	Shareholder	1 Nov 2008	75% - 100%	26-3962811

Based in Hartford

The principal office where Newfound Investments, LLC performs its advisory services is located at 100 Pearl Street, Hartford, CT 06103, which is also the mailing address of the firm. An additional office of the firm is in Boston, MA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 800-248-7971 or by fax 860-241-1024. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at virtus.com.