Signature Estate & Investment Advisors LLC (Los Angeles)

Name: Signature Estate & Investment Advisors LLC
Address: 2121 Avenue Of The Stars, Los Angeles, CA, 90067
Telephone: 310-712-2323

Signature Estate & Investment Advisors LLC is a large advisory firm based in Los Angeles. It manages $6.22 billion of regulatory assets for 11,606 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Signature Estate & Investment Advisors provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, selection of other advisers, and educational seminars and workshops. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Signature Estate & Investment Advisors: assets under management

The assets under management (AUM) of Signature Estate & Investment Advisors LLC is $6.22 billion. The firm's AUM has grown by 345% since the beginning of its operation, and $176.63 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $798.53 million in discretionary accounts and $5.42 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $465.34 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $548.5 thousand.

Signature Estate & Investment Advisors has custody of $1.93 billion in cash and securities for 1,620 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 57% of the total AUM. The second-largest asset type is exchange traded securities, which make up 22% of the firm’s portfolio. Investments in cash and cash equivalents form 7% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Signature Estate & Investment Advisors LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed 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 Brian David Holmes serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Brian David Holmes is high net worth individuals with 2,607 clients and $5.41 billion of assets under management. Among the 9 most similar advisory firms, Signature Estate & Investment Advisors has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $6.22 billion for 4,347 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.

Signature Estate & Investment Advisors doesn't advise any private funds.

Careers at Signature Estate & Investment Advisors LLC

The company employs 85 people that are either part- or full-time employees. 35 percent of the employees work as investment advisers or researchers. 55 employees are registered as investment adviser representatives with the state securities authorities.

There are 3 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Brian David Holmes has been acting as President since 1 Aug 1996. Deron Talmadge Mccoy has served as the Chief Investment Officer since 1 Jan 2014. Eric Zachary Rosen joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Brian David Holmes	President/ceo/secretary	1 Aug 1996	50% - 75%	1263061
Payam Taghibagi	Senior partner	1 Feb 1997	Other	2075689
Gary Kendall Liska	Senior partner/cfo	1 Feb 1997	Other	2512188
Mark Edward Copeland	Senior partner	1 Sep 1997	Other	1844301
Nga Thien Vu	C.f.o./compliance officer	1 Jul 1999	Other	3022770
Nga Thien Vu Lintag	C.f.o./compliance officer	1 Jul 1999	Other	3022770
Daryl Sean Brockman	Advisor	1 Jun 2001	Other	1960335
Theodore Elias Saade	Senior partner	1 Jan 2008	Other	2650992
Vincent Anthony Dileva	Senior partner	1 Jan 2008	Other	2630819
Rachel Lee Posner	Chief compliance officer	1 Jan 2011	Other	3275176
Deron Talmadge Mccoy	Chief investment officer	1 Jan 2014	Other	2641428
Jennifer Kim	Senior partner	1 Jan 2015	Other	2322771
Eric Zachary Rosen	Chief compliance officer	1 Dec 2017	Other	6181478

Based in Los Angeles

The principal office where Signature Estate & Investment Advisors LLC performs its advisory services is located at 2121 Avenue Of The Stars, Los Angeles, CA 90067, which is also the mailing address of the firm. An additional office of the firm is in Pasadena, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 310-712-2323 or by fax 310-712-2345. The normal business hours are 8:30 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at seia.com and its LinkedIn profile.