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Lowe Enterprises Investment Management, LLC (Los Angeles)


Lowe Enterprises Investment Management, LLC is a large advisory firm based in Los Angeles. It manages $1.71 billion of regulatory assets for 13 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdiction of California.

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Lowe Enterprises Investment Management provides portfolio management for businesses and institutional clients, pension consulting services, and real estate investment management and supervisory 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.

Lowe Enterprises Investment Management: assets under management

The assets under management (AUM) of Lowe Enterprises Investment Management, LLC is $1.71 billion. The firm's AUM has grown by 306% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


Lowe Enterprises Investment Management has custody of $49.5 million in cash and securities for 13 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in non-exchange traded securities the most. They account for 97% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 3% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Lowe Enterprises Investment Management, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Michael Hamilton Lowe serves?

The only and largest group of clients of Michael Hamilton Lowe is corporations or other businesses with 6 clients and $1.03 billion of assets under management. Among the 11 most similar advisory firms, Lowe Enterprises Investment Management has the highest percentage of corporations or other businesses out of all clients.


The amount of regulatory assets under management is $1.03 billion for 6 clients. None of the firm’s clients are foreign persons or businesses.

Lowe Enterprises Investment Management doesn't advise any private funds.

Careers at Lowe Enterprises Investment Management, LLC

The company employs 27 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person 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.

Michael Hamilton Lowe has been acting as President since 1 Aug 2010. Peter John Finley joined the executive team most recently as the Senior Vice President.

Direct owners and executive officers



Name Entity Date acquired Ownership Employer ID
Kerri Anne O'neill Member & sr. vice president portfolio management 1 Jan 2002 Other 5316098
Inc. Leim Parent Member 1 Nov 2002 25% - 50% 95-4304294
John Michael Demarco Chief legal officer/chief compliance officer 1 Dec 2002 Other 4362229
Philip Rising Peters Exec vp 1 Dec 2002 Other 4362255
David F Morrison Director 1 Dec 2002 Other 3216411
Thomas C Garbutt Director 1 Dec 2002 Other 1814811
Theodore Moreau Leary Director/president/ceo 1 Dec 2002 Other 4362202
Brian Thomas Prinn Director/chairman 1 Dec 2002 Other 4362210
Kathleen Sue Briscoe Exec vp 1 Dec 2002 Other 4362213
Robert James Lowe Director 1 Dec 2002 Other 4362215
Lowe Enterprises Investment Management Inc Shareholder 1 Dec 2002 50% - 75% 106206
Llc Tiaa Realty Capital Management Shareholder 1 Dec 2002 25% - 50% 13-4227025
Bleecker Provoost Seaman Evp/cfo 1 Dec 2002 Other 4362227
Ronald Eugene Silva Exec vp 1 Dec 2002 Other 716377
Bradford Wilson Howe Exec vp 1 Jul 2003 Other 2425714
Theodore Moreau Leary Director/chairman 1 Oct 2004 Other 4362202
Bleecker Provoost Seaman President/ceo 1 Oct 2004 Other 4362227
Michael Hamilton Lowe Investment committee chair 1 Jun 2006 Other 5316096
Llc Leim Holding Member 1 Nov 2006 Other 20-5928159
Robert James Lowe Chairman of board of directors 1 Aug 2010 Other 4362215
Bleecker Provoost Seaman Co-ceo, director, member, investment committee chair 1 Aug 2010 Other 4362227
Bradford Wilson Howe Co-ceo, director and member 1 Aug 2010 Other 2425714
Michael Hamilton Lowe Director 1 Aug 2010 Other 5316096
Robert Treanor O'rourke Director 1 Aug 2010 Other 5907646
Thomas George Sorell Director 1 Aug 2010 Other 1020936
Jeremy Joseph Iaccino Member and chief financial officer 1 Aug 2010 Other 5033403
Llc Guardian Leim Member 1 Aug 2010 50% - 75% 27-3458476
Robert T O'rourke Director 1 Aug 2010 Other 5907646
Thomas Patrick Lydon Director 1 Aug 2011 Other 2303446
Peter Gabriel Houghton Member and sr vice president 1 Jul 2013 Other 6318714
Russell Dean Munn Member and sr vice president 1 Jul 2013 Other 2823299
William Monroe Cockrum Member and sr vice president 1 Jul 2013 Other 2438157
Peter G Houghton Member and sr vice president 1 Jul 2013 Other 6318714
Andrew Isaac Sands Member and sr vice president 1 Jan 2014 Other 2270323
Cara Lee Leonard Member and sr vice president 1 Jan 2014 Other 6318719
Cara L Leonard Member and sr vice president 1 Jan 2014 Other 6318719
Peter John Finley Senior vice president 1 Jan 2015 Other 1736646

Indirect Owners

The SEC currently registers 8 indirect owners.

Name Entity Date acquired Ownership Employer ID
Robert James Lowe Shareholder 1 Mar 1982 50% - 75% 4362215
Inc. Lowe Enterprises Shareholder 1 Jan 1991 75% - 100% 95-3738683
Tiaa Board Of Overseers Shareholder 1 Oct 1993 75% - 100% 13-6110585
Teachers Insurance And Annuity Association Of America Shareholder 1 Dec 2001 75% - 100% 13-1624203
Llc Tiaa Financial Services Shareholder 1 Dec 2002 75% - 100% 13-4201676
Inc. Lowe Enterprises Member 1 Feb 2005 75% - 100% 95-3738683
Llc Lowe Enterprises Investors Shareholder 1 Feb 2005 75% - 100% 20-2341470
The Guardian Life Insurance Company Of America Member 1 Jun 2010 75% - 100% 13-5123390

Based in Los Angeles

The principal office where Lowe Enterprises Investment Management, LLC performs its advisory services is located at 11755 Wilshire Blvd., Los Angeles, CA 90025, which is also the mailing address of the firm. An additional office of the firm is in Philadelphia, PA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 800-261-4481 or by fax 310-231-7507. The normal business hours are 8:30 a.m. to 5:30 p.m. on Monday - Friday. You can find more information about the New York firm at loweenterprisesinvestors.com.


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