Autumn Wind Asset Management Inc (Great Falls)

Name: Autumn Wind Asset Management Inc
Address: 10132 Colvin Run Road, Suite G, Great Falls, VA, 22066
Telephone: 703-757-3848

Autumn Wind Asset Management Inc is a large advisory firm based in Great Falls. It manages $105.84 million of regulatory assets for 132 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of Virginia.

Autumn Wind Asset Management provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Autumn Wind Asset Management: assets under management

The assets under management (AUM) of Autumn Wind Asset Management Inc is $105.84 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 202% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $105.84 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $801.84 thousand each.

Autumn Wind Asset Management has custody of $24.52 million in cash and securities for 48 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 46% of the total AUM. The second-largest asset type is investment and business development companies, which make up 28% of the firm’s portfolio. Investments in state and local bonds form 21% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Autumn Wind Asset Management Inc for their services and products based on a percentage of assets under management. 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 Thomas Neal Falkenberry serves?

The firm provides services to individuals, high net worth individuals, and corporations or other businesses. The largest group of clients of Thomas Neal Falkenberry is high net worth individuals with 35 clients and $90.37 million of assets under management. Among the 11 most similar advisory firms, Autumn Wind Asset Management has the 4th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $105.84 million for 132 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Autumn Wind Asset Management also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $100,000 for each fund.

Careers at Autumn Wind Asset Management Inc

The company employs 2 people that are either part- or full-time employees. 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 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.

Thomas Neal Falkenberry has been acting as President since 1 May 2000. Michael James O'donnell joined the executive team most recently as the Cco.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Thomas Neal Falkenberry	Chief compliance officer	1 Apr 2000	75% - 100%	1925791
Thomas Neal Falkenberry	President	1 May 2000	75% - 100%	1925791
Jimmie Carnes	Analyst	1 Jul 2000	Other	2304489
David A Joosten	Chief compliance officer	1 Oct 2010	Other	5537639
Michael James O'donnell	Cco	1 Mar 2013	Other	5771604

Based in Great Falls

The principal office where Autumn Wind Asset Management Inc performs its advisory services is located at 10132 Colvin Run Road, Suite G, Great Falls, VA 22066, 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 703-757-3848 or by fax 703-757-7620. The normal business hours are 9:00 - 5:00 on Monday - Friday. You can find more information about the New York firm at autumnwind.com.