Bernzott Capital Advisors (Camarillo)

Name: Bernzott Capital Advisors
Address: 888 W. Ventura Blvd., Suite B, Camarillo, CA, 93010 8383
Telephone: 805-389-9445

Bernzott Capital Advisors is a large advisory firm based in Camarillo. It manages $793.78 million of regulatory assets for 657 client accounts. It has been registered with the SEC as an adviser since 2000 and has operated in the jurisdictions of California, Massachusetts, Texas, and Virginia.

Bernzott Capital Advisors provides portfolio management for individuals and small businesses, portfolio management for investment companies, 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.

Bernzott Capital Advisors: assets under management

The assets under management (AUM) of Bernzott Capital Advisors is $793.78 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 2340% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $793.78 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.21 million each.

Bernzott Capital Advisors has custody of $218 million in cash and securities for 200 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 90% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 10% of the firm’s portfolio. Investments in investment and business development companies form 3% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Bernzott Capital Advisors 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 Peter Frank Banks serves?

The firm provides services to individuals, investment companies, charitable organizations, high net worth individuals, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Peter Frank Banks is high net worth individuals with 100 clients and $200.36 million of assets under management. Among the 11 most similar advisory firms, Bernzott Capital Advisors has the 5th lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $793.78 million for 360 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.

Bernzott Capital Advisors doesn't advise any private funds.

Careers at Bernzott Capital Advisors

The company employs 9 people that are either part- or full-time employees. 44 percent of the employees work as investment advisers or researchers. 5 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 compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Bernzott Capital Advisors is owned by Marilyn S. Bernzott. Peter Frank Banks has been acting as President since 1 Sep 1997. Thomas Anthony Derse joined the executive team most recently as the President & Chief Financial Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Kevin Bernzott	Chairman & ceo	1 Sep 1997	25% - 50%	2595235
Peter Frank Banks	Director	1 Sep 1997	Other	4311381
Dale Anne Eucker	Director, secretary	1 Oct 1999	Other	4311382
Bruce Alan Blais	Director, vice president	1 Feb 2002	Other	2875932
Priscilla Ann Olsen	Director	1 Jun 2003	Other	4753189
Randy Anthony Schouten	Director	1 Dec 2003	Other	4485401
Randall Anthony Schouten	Director	1 Dec 2003	Other	4485401
Thomas Anthony Derse	Vice president & chief financial officer	1 Mar 2004	Other	4679451
Peter Dominic Demartino	Director	1 Mar 2004	Other	2828358
Kathleen Andrea Loretto	Director	1 Mar 2004	Other	2301135
Bernzott Capital Advisors Profit Sharing Plan	Shareholder	1 May 2004	50% - 75%	75-3113017
Margaret Ann Schouten	Director	1 Jan 2005	Other	4333030
Margaret Ann Murphy	Director & assistant compliance officer	1 Jan 2005	Other	4333030
Priscilla Ann Olsen	Chief financial officer	1 Jul 2005	Other	4753189
Priscilla Ann Simon	Chief financial officer	1 Jul 2005	Other	4753189
Marilyn Stevens Bernzott	Shareholder	1 Sep 2005	Other	5398471
Marilyn S. Bernzott	Owner	1 Sep 2005	Other	5398471
Denelle Rutherford	Director	1 Nov 2005	Other	5110153
Denelle Elizabeth Rutherford	Director	1 Nov 2005	Other	5110153
Hans Thomas Walsh	Vice president/chief operating officer/chief compliance officer	1 Apr 2006	Other	5225902
Madeline Eugenia Rhods	Director	1 Apr 2007	Other	5397912
Scott Thomas Larson	Director	1 Jul 2007	Other	5397558
Stephen Richard Soper	Director	1 Jul 2007	Other	1349980
Scott Thomas Larson	Vice president & cio	1 Oct 2011	Other	5397558
Patrick Storm Steele	Senior vice president	1 Nov 2011	Other	1027454
Thomas Anthony Derse	President & chief financial officer	1 Mar 2016	Other	4679451

Based in Camarillo

The principal office where Bernzott Capital Advisors performs its advisory services is located at 888 W. Ventura Blvd., Suite B, Camarillo, CA 93010 8383, which is also the mailing address of the firm. An additional office of the firm is in Hingham, MA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 805-389-9445 or by fax 805-389-9456. The normal business hours are 9:00 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at bernzott.com.