Fidus Investment Advisors, LLC (Evanston)


Fidus Investment Advisors, LLC is a large advisory firm based in Evanston. It manages $666.37 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdictions of Illinois, North Carolina, and South Carolina.

Fidus Investment Advisors provides portfolio management for investment companies and 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.

Fidus Investment Advisors: assets under management

The assets under management (AUM) of Fidus Investment Advisors, LLC is $666.37 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 191% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $666.37 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $333.18 million each.
Fidus Investment Advisors has custody of $23.38 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Fidus Investment Advisors, 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.

What kind of clients Fidus Investment Advisors serves?

The firm provides services to pooled investment vehicles and business development companies. The largest group of clients of Fidus Investment Advisors is business development companies with 1 clients and $642.98 million of assets under management. Among the 8 most similar advisory firms, Fidus Investment Advisors has the highest percentage of business development companies out of all clients.

The amount of regulatory assets under management is $666.37 million for 2 clients. None of the firm’s clients are foreign persons or businesses.

Fidus Investment Advisors also advises several private funds. Namely, one private equity fund. The minimum investment commitment required of non-related persons is $500,000 for each fund.

Careers at Fidus Investment Advisors, LLC

The company employs 33 people that are either part- or full-time employees. 85 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
Edward Hennessy Ross Chief executive officer, manager 1 Mar 2011 Other 2634614
Thomas Charles Lauer Manager 1 Mar 2011 Other 2978956
William Andrew Worth Secretary and manager 1 Mar 2011 Other 4440805
John Joseph Ross Manager 1 Mar 2011 Other 2419176
Cary Lynn Schaefer Chief financial officer and chief compliance officer 1 Mar 2011 Other 4694337
Braxton Bragg Comer Manager 1 Mar 2011 Other 2661052
William Steven Mcnish Chief compliance officer 1 Aug 2014 Other 5907999
William Andrew Worth Chief financial officer 1 Aug 2014 Other 4440805
John Humphrey Grigg Manager 1 Jan 2015 Other 1740900
Llc Fidus Group Holdings Member 1 May 2015 75% - 100% 47-3454531
Diane P Lind Chief compliance officer 1 Aug 2015 Other 4483535
Shelby Elizabeth Sherard Chief financial officer, vice president, treasurer and secretary 1 Dec 2017 Other 4249853

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Edward Hennessy Ross Managing member 1 May 2015 Other 2634614
Thomas Charles Lauer Managing member 1 May 2015 Other 2978956
William Andrew Worth Managing member 1 May 2015 Other 4440805
John Joseph Ross Managing member 1 May 2015 Other 2419176
John Humphrey Grigg Managing member 1 May 2015 Other 1740900

Based in Evanston

The principal office where Fidus Investment Advisors, LLC performs its advisory services is located at 1603 Orrington Ave, Evanston, IL 60201, which is also the mailing address of the firm. An additional office of the firm is in Charlotte, NC. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 847-859-3940 or by fax 847-859-3953. The normal business hours are 8:30am - 5:30pm ct on Monday - Friday.