Aspetuck Capital Management, LLC (Stamford)

Name: Aspetuck Capital Management, LLC
Address: Six Landmark Square, Stamford, CT, 06901
Telephone: 203-914-1923

Aspetuck Capital Management, LLC is a large advisory firm based in Stamford. It manages $104.03 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdiction of Connecticut.

Aspetuck Capital Management provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Aspetuck Capital Management: assets under management

The assets under management (AUM) of Aspetuck Capital Management, LLC is $104.03 million. The firm's AUM has grown by 128% since the beginning of its operation, and $12.31 million of the total AUM is attributable to clients outside of the United States.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Aspetuck Capital Management, LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Aspetuck Capital Management serves?

The only and largest group of clients of Aspetuck Capital Management is pooled investment vehicles with 2 clients and $104.03 million of assets under management. Among the 10 most similar advisory firms, Aspetuck Capital Management has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $104.03 million for 2 clients. None of the firm’s clients are foreign persons or businesses.

Aspetuck Capital Management also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $3,000,000 for each fund.

Careers at Aspetuck Capital Management, LLC

The company employs 6 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative 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 doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Biao [Nmn] Lu	Managing member and chief investment officer	1 Jun 2013	75% - 100%	6808463
Timothy Sean Reddington	Vice president, business operations & chief compliance officer	1 Jun 2013	Other	6808477
Biao Lu	Managing partner and chief investment officer	1 Jun 2013	75% - 100%	6808463
Timothy S Reddington	Vice president & chief compliance officer	1 Jun 2013	Other	6808477

Based in Stamford

The principal office where Aspetuck Capital Management, LLC performs its advisory services is located at Six Landmark Square, Stamford, CT 06901, 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 203-914-1923 or by fax 203-323-1515. The normal business hours are 9:00 am-5:00 pm on Monday - Friday. You can find more information about the New York firm at aspetuckcapital.com.