Mastholm Asset Management LLC (Seattle)


Mastholm Asset Management LLC is a large advisory firm based in Seattle. It manages $960 million of regulatory assets for 30 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Georgia, Illinois, and Washington.

Mastholm Asset Management provides portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Mastholm Asset Management: assets under management

The assets under management (AUM) of Mastholm Asset Management LLC is $960 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -52% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $960 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $32 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Mastholm Asset Management 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.

Indirect Owners

The SEC currently registers 4 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc. Salomon Smith Barney Holdings Sole shareholder of sbam, g.p., inc. 1 Jun 1997 75% - 100% 11-2418067
Inc. Citigroup Sole shareholder of salomon smith barney holdings, inc. 1 Jun 1997 75% - 100% 52-1568099
Salomon Asset Management Sole shareholder of sbam, g.p., inc. 1 Dec 2005 75% - 100% 11-2418067
Inc. Legg Mason Sole shareholder of salomon asset management 1 Dec 2005 75% - 100% 52-1200960

Based in Seattle

The principal office where Mastholm Asset Management LLC performs its advisory services is located at 601 Union Street, Seattle, WA 98101 The mailing address of the firm is 3350 Riverwood Parkway, Atlanta, GA 30339. An additional office of the firm is in Chicago, IL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 206-621-1355 or by fax 206-621-1226. The normal business hours are 7:00 a.m. to 5:00 p.m. on Monday - Friday.