Polaris Equity Management, Inc. (San Rafael)

Polaris Equity Management, Inc. is a related adviser based in San Rafael. It manages $4 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdiction of California.

Polaris Equity 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.

Polaris Equity Management: assets under management

The assets under management (AUM) of Polaris Equity Management, Inc. is $4 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -87% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $4 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $4 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Polaris Equity Management, Inc. 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 Polaris Equity Management serves?

The only and largest group of clients of Polaris Equity Management is pooled investment vehicles with 1 clients and $4 million of assets under management. Among the 4 most similar advisory firms, Polaris Equity Management has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $4 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Polaris Equity Management also advises several private funds. Namely, one private equity fund. The minimum investment commitment required of non-related persons is $100,000 for each fund.

Careers at Polaris Equity Management, Inc.

The company employs 1 person that is either a part- or full-time employee. 100 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 compensates 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
Jeffrey John Powell	President & ceo	1 Aug 1998	75% - 100%	2289402
Kristen Moffat Powell	Cfo	1 Dec 2000	50% - 75%	2291495
Nathan Hatton Walsh	Cco	1 Oct 2004	Other	3076905
Scott Kumar Banerjee	Portfolio manager	1 Feb 2009	Other	5639232
Angela Crescenzo	Chief compliance officer	1 Aug 2012	Other	2869199

Based in San Rafael

The principal office where Polaris Equity Management, Inc. performs its advisory services is located at 824 E Street, San Rafael, CA 94901, 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 415-263-5600 or by fax 415-263-8909. The normal business hours are 7:00 a.m. to 4:00 p.m. on Monday - Friday.