Thomas Weisel Asset Management LLC (San Francisco)


Thomas Weisel Asset Management LLC is a large advisory firm based in San Francisco. It manages $175.8 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdiction of California.

Thomas Weisel Asset Management provides 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.

Thomas Weisel Asset Management: assets under management

The assets under management (AUM) of Thomas Weisel Asset Management LLC is $175.8 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -12% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $175.8 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $87.9 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Thomas Weisel 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.

Careers at Thomas Weisel Asset Management LLC

Stephen John Bushmann joined the executive team most recently as the Cfo.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Thomas Weisel Partners Group Llc Managing member 1 Jan 2001 75% - 100% 94-3310171
Inc Thomas Weisel Partners Group Managing member 1 Jan 2001 75% - 100% 94-3310171
David Anthony Baylor General counsel & secretary 1 May 2001 Other 2361024
Joel Ray Jacobs Chief executive officer 1 May 2001 Other 1288062
Robert Kennedy West Chief financial officer 1 May 2001 Other 4368217
Christopher Eric Nordquist Chief operations officer 1 Jan 2002 Other 4127356
James Paul Record Chief compliance officer 1 May 2002 Other 4455403
Mary Elizabeth Avella Chief financial officer 1 May 2002 Other 4317172
Shelly Tam Cotroller 1 Nov 2003 Other 4018967
Pamela Irene Fong Chief compliance officer 1 Mar 2005 Other 1393488
James Paul Record Chief compliance officer 1 Mar 2006 Other 4455403
Howard Jack Helfand General counsel 1 Mar 2006 Other 4766604
Thomas Wilson Weisel Chairman, board of managers 1 Nov 2006 Other 462213
Paul Christian Slivon Member, board of managers 1 Nov 2006 Other 1148548
Kenneth Andrew Korngiebel Member, board of managers 1 Nov 2006 Other 2787476
Cynthia Perez Chief operating officer 1 Jan 2007 Other 1769327
Mark Philip Fisher Chief legal officer 1 Mar 2007 Other 4970942
Shaugn Stephen Stanley Cfo 1 Apr 2008 Other 1693277
Donald Lee Mahon Chief compliance officer 1 Jul 2008 Other 2890417
Christine Mevs Chief compliance officer 1 May 2009 Other 2873604
Ryan James Stroub Cfo 1 May 2009 Other 3098642
Rita Stephanie Kazembe Chief compliance officer 1 Oct 2011 Other 5907486
Michael James Derrick Chief financial officer 1 Jul 2012 Other 5577693
Peter Roserio Guarino Chief compliance officer 1 Sep 2012 Other 1276310
Stephen John Bushmann Cfo 1 Nov 2012 Other 2778234

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Stifel Financial Corp Shareholder 1 Jul 2010 75% - 100% 43-1274600

Based in San Francisco

The principal office where Thomas Weisel Asset Management LLC performs its advisory services is located at One Montgomery Street, San Francisco, CA 94104, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 415-364-2500 or by fax 415-364-2694. The normal business hours are 6:00 am to 6:00 pm on Monday - Friday. You can find more information about the New York firm at tweisel.com.