O'shaughnessy Asset Management, LLC (Stamford)

Name: O'shaughnessy Asset Management, LLC
Address: 6 Suburban Avenue, Stamford, CT, 06901 2012
Telephone: 203-975-3333

O'shaughnessy Asset Management, LLC is a large advisory firm based in Stamford. It manages $5.15 billion of regulatory assets for 2,793 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

O'shaughnessy Asset Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

O'shaughnessy Asset Management: assets under management

The assets under management (AUM) of O'shaughnessy Asset Management, LLC is $5.15 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -14% since the beginning of its operation, and $2.31 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $5.15 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.84 million each.

Investments

The firm invests in exchange traded securities the most. They account for 99% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 1% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay O'shaughnessy Asset Management, LLC for their services and products based on a percentage of assets under management and performance-based fees. 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.

What kind of clients Christopher Stratton Loveless serves?

The firm provides services to investment companies, charitable organizations, high net worth individuals, pooled investment vehicles, corporations or other businesses, pension and profit sharing plans, state or municipal government entities, and sovereign wealth funds and foreign official institutions. The largest group of clients of Christopher Stratton Loveless is pooled investment vehicles with 9 clients and $2.11 billion of assets under management. Among the 10 most similar advisory firms, O'shaughnessy Asset Management has the 4th lowest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $5.15 billion for 2,793 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

O'shaughnessy Asset Management also advises several private funds. Namely, one other private fund. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at O'shaughnessy Asset Management, LLC

The company employs 32 people that are either part- or full-time employees. 56 percent of the employees work as investment advisers or researchers. 18 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Christopher Stratton Loveless has been acting as President since 1 Jul 2007. Travis Brent Fairchild joined the executive team most recently as the Portfolio Manager/Member.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Llc O'shaughnessy Family Partners	Managing member	1 May 2007	50% - 75%	26-1640010
Royal Bank Of Canada	Member(passive)	1 May 2007	Other	13-5357855
Christopher Stratton Loveless	President/member	1 Jul 2007	Other	2533067
James Patrick O'shaughnessy	Ceo, cio, chairman, lead portfolio manager & manager of the managing member	1 Jul 2007	Other	1890402
Ari Mark Rosenbaum	Director of financial advisory services/member	1 Jul 2007	Other	2994350
Llc O'shaugnessy Family Partners	Owner	1 Jul 2007	75% - 100%	00-0000000
James Patrick Oshaughnessy	Chief compliance officer/president	1 Jul 2007	Other	1890402
William Mccarley Latimer	Chief compliance officer	1 Jul 2007	Other	2648223
Tom Wayne Rawlings	Chief operating officer	1 Jul 2007	Other	5080094
Erin Marie Foley	Director of trading/member	1 Sep 2007	Other	2673962
Inc. Bear Stearns Asset Management	Member	1 Sep 2007	Other	00-0000000
Bear Stearns Asset Management Inc	Member(passive)	1 Sep 2007	Other	113359
Bsam Investments Corp.	Member(passive)	1 Sep 2007	Other	26-0406335
Christopher Ira Meredith	Senior portfolio manager/director of research & portfolio management/member	1 Oct 2007	Other	4989470
Sandra Marlene Hahncolbert	Director of performance analytics and operations	1 Oct 2007	Other	1382422
Scott Edward Loomis	Chief financial officer/member	1 Nov 2007	Other	4971096
Raymond Amoroso Iii	Chief compliance officer/member	1 Jan 2008	Other	5362699
Francis Daniel Fitzgerald	Coo/member	1 Jan 2008	Other	5755971
Raymond Amoroso	Chief compliance officer	1 Jan 2008	Other	5362699
Sean Patrick Mccaffrey	Director of institutional sales	1 Feb 2008	Other	1896917
Royal Bank Of Canada	Member(passive)	1 May 2008	Other	13-5357855
Christopher Ira Meredith	Portfolio manager	1 Jan 2009	Other	4989470
Scott Michael Bartone	Portfolio manager/member	1 Jul 2013	Other	5123973
Ashvin Viswanathan	Portfolio manager/member	1 Jul 2013	Other	5809720
Patrick Walker O'shaughnessy	Portfolio manager/member	1 Jul 2013	Other	5457732
Scott M Bartone	Portfolio manager/member	1 Jul 2013	Other	5123973
Ehren Jonathan Stanhope	Client portfolio manager/member	1 Jan 2015	Other	5747833
Claudine Antoinette Spence	Director of client service/member	1 Jan 2017	Other	3105453
Joseph Emmanuel Dessalines	Director of technology/member	1 Jan 2017	Other	6753194
Travis Brent Fairchild	Portfolio manager/member	1 Jan 2018	Other	5958734

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
James Patrick O'shaughnessy	Managing member	1 May 2007	50% - 75%	1890402
James Patrick Oshaughnessy	Owner	1 Jun 2007	75% - 100%	1890402
The Bear Stearns Companies Inc.	100% shareholder	1 Sep 2007	75% - 100%	13-3286161

Based in Stamford

The principal office where O'shaughnessy Asset Management, LLC performs its advisory services is located at 6 Suburban Avenue, Stamford, CT 06901 2012, which is also the mailing address of the firm. An additional office of the firm is in Washington D.C., DC. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 203-975-3333 or by fax 203-975-3310. The normal business hours are 8:30 am - 5:30 pm on Monday - Friday. You can find more information about the New York firm at osam.com.