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Transwestern Securities Management, L.L.C. (Chicago)


Transwestern Securities Management, L.L.C. is a large advisory firm based in Chicago. It manages $352.04 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2007.

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Transwestern Securities Management, L.L.C provides portfolio management for investment companies, portfolio management for pooled investment vehicles, and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Transwestern Securities Management, L.L.C: assets under management

The assets under management (AUM) of Transwestern Securities Management, L.L.C. is $352.04 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 3956% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $352.04 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $117.35 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Transwestern Securities Management, L.L.C. 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.

Indirect Owners

The SEC currently registers 4 indirect owners.

Name Entity Date acquired Ownership Employer ID
Stephen Renato Quazzo Managing principal and member 1 Mar 1996 25% - 50% 1060327
Robert Douglas Duncan Managing principal and member 1 Mar 1996 25% - 50% 5291409
Christopher Brian Galvin Manager and member 1 Dec 2010 25% - 50% 5885333
Michael Paul Galvin Manager and member 1 Dec 2010 25% - 50% 5885345

Based in Chicago

The principal office where Transwestern Securities Management, L.L.C. performs its advisory services is located at 150 North Wacker Drive, Chicago, IL 60606 1624, 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 312-499-1975 or by fax 312-499-1955. The normal business hours are 8 a.m.-5 p.m. on Monday - Friday. You can find more information about the New York firm at www.transinvestco.com.


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