Rfe Management Corporation (New Canaan)

Name: Rfe Management Corporation
Address: 36 Grove Street, New Canaan, CT, 06480 5329
Telephone: 203-966-2800

Rfe Management Corporation is a large advisory firm based in New Canaan. It manages $362.13 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of Connecticut and Delaware.

Rfe Management Corporation 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.

Rfe Management Corporation: assets under management

The assets under management (AUM) of Rfe Management Corporation is $362.13 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -3% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $362.13 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $120.71 million each.

Rfe Management Corporation has custody of $273.21 million in cash and securities for 3 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rfe Management Corporation 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 Rfe Management Corporation serves?

The only and largest group of clients of Rfe Management Corporation is pooled investment vehicles with 3 clients and $362.13 million of assets under management. Among the 10 most similar advisory firms, Rfe Management Corporation has the 3rd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $362.13 million for 3 clients. None of the firm’s clients are foreign persons or businesses.

Rfe Management Corporation also advises several private funds. Namely, three private equity funds. The minimum investment commitment required of non-related persons is $5,000,000 for each fund.

Careers at Rfe Management Corporation

The company employs 14 people that are either part- or full-time employees. 86 percent of the employees work as investment advisers or researchers. No 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 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
James Angell Parsons	Rfe associates iv, l.p. - general partner	1 Jun 1988	Other	2063005
Robert Mann Williams	Rfe associates iv, l.p. - limited partner	1 Jun 1988	Other	2062992
Harmon Thomas Gnuse	Rfe associates iv, l.p. - limited partner	1 Jun 1988	Other	2496862
George Ernest Thomassy	Rfe associates iv, l.p. - limited partner	1 Jun 1988	Other	2062996
Howard Carl Landis	Rfe associates iv, l.p. - limited partner	1 Jun 1988	Other	2062997
Richard Miller	Rfe associates iv, l.p. - limited partner	1 Jun 1988	Other	6180186
Michael Jeffrey Foster	Rfe associates iv, l.p. - general partner	1 Jul 1989	Other	2062999
Michael Jeffrey Foster	Rfe associates iv, l.p. - general partner	1 Oct 1989	Other	2062999
Michael Jeffrey Foster	Rfe mgt. corp. - managing director, chief compliance officer, vice president & secretary, common stock shareholder, board member	1 May 1991	25% - 50%	2062999
James Angell Parsons	Rfe mgt. corp. - managing director, president, common stock shareholder, board member	1 May 1991	25% - 50%	2063005
Michael Jeffrey Foster	Rfe associates v, l.p. - general partner	1 Sep 1994	Other	2062999
James Angell Parsons	Rfe associates v, l.p. - general partner	1 Sep 1994	Other	2063005
Howard Carl Landis	Rfe associates v, l.p. - limited partner	1 Sep 1994	Other	2062997
Robert Mann Williams	Rfe associates v, l.p. - limited partner	1 Sep 1994	Other	2062992
A Dean Davis	Rfe associates v, l.p. - limited partner	1 Sep 1994	Other	1395881
A Dean Davis	Rfe associates iv, l.p. - limited partner	1 Jun 1998	Other	1395881
Donald Albin Juricic	Rfe mgt. corp. - managing director, chief financial officer, vice president & treasurer, common stock shareholder	1 Oct 2000	Other	6019160
Richard Peter Reiter	Rfe mgt. corp. - managing director, vice president, common stock shareholder	1 Oct 2004	Other	6019187
Edward Duncan Truslow	Rfe mgt. corp. - managing director, vice president, common stock shareholder	1 Oct 2004	Other	6019193
Virginia Mckay	Rfe associates iv, l.p. - limited partner	1 Jan 2006	Other	6180167
Michael Jeffrey Foster	Rfe associates vii, llc - managing member	1 May 2007	25% - 50%	2062999
James Angell Parsons	Rfe associates vii, llc - managing member	1 May 2007	25% - 50%	2063005
Richard Peter Reiter	Rfe associates vii, llc - managing member	1 May 2007	Other	6019187
Edward Duncan Truslow	Rfe associates vii, llc - managing member	1 May 2007	Other	6019193
Donald Albin Juricic	Rfe associates vii, llc - managing member	1 May 2007	Other	6019160
Rfe Management Corporation Profit Sharing Plan	Rfe associates vii, llc - other llc member	1 May 2007	Other	06-1121900
Michael William Rubel	Rfe associates vii, llc - other llc member	1 Jul 2009	Other	6180238
Michael Jeffrey Foster	Rfe associates viii, llc - managing member	1 Jun 2011	Other	2062999
James Angell Parsons	Rfe associates viii, llc - managing member	1 Jun 2011	Other	2063005
Edward Duncan Truslow	Rfe associates viii, llc - managing member	1 Jun 2011	Other	6019193
Richard Peter Reiter	Rfe associates viii, llc - managing member	1 Jun 2011	Other	6019187
Donald Albin Juricic	Rfe associates viii, llc - managing member	1 Jun 2011	Other	6019160
Michael William Rubel	Rfe associates viii, llc - other llc member	1 Jun 2011	Other	6180238
Rfe Management Corporation Profit Sharing Plan	Rfe associates viii, llc - other llc member	1 Jun 2011	Other	06-1121900
Paul Ronald Schilpp	Rfe associates viii, llc - other llc member	1 Jul 2012	Other	5385353

Based in New Canaan

The principal office where Rfe Management Corporation performs its advisory services is located at 36 Grove Street, New Canaan, CT 06480 5329, 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 203-966-2800 or by fax 203-966-3109. The normal business hours are 8:30 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at rfeip.com.