Spencer Capital Management, LLC (New York)


Spencer Capital Management, LLC is a mid-sized advisory firm based in New York. It manages $75.3 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2006.

Spencer Capital Management provides portfolio management for individuals and small businesses, 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.

Spencer Capital Management: assets under management

The assets under management (AUM) of Spencer Capital Management, LLC is $75.3 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -57% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $75.3 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $37.65 million each.
Spencer Capital Management has custody of $11.5 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Spencer Capital Management, LLC for their services and products based on fixed fees 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.

Indirect Owners

The SEC currently registers 14 indirect owners.

Name Entity Date acquired Ownership Employer ID
Gary Alexander Common voting shareholder 1 Oct 1991 25% - 50% 5828198
James Alexander Common voting shareholder 1 Oct 1991 25% - 50% 5828199
Robin M Alexander Common voting shareholder 1 Oct 1991 25% - 50% 5827498
Inc. Ajg Financial Services Shareholder 1 Jul 1996 25% - 50% 36-4092112
Inc. Arthur J. Gallagher & Co. Shareholder 1 Jul 1996 75% - 100% 36-2681781
2003 The Burry 2003 Revocable Trust Dated May 13 Member 1 May 2005 50% - 75% xxx-xx-xxxx
Gary Alexander Class a common voting shareholder 1 Dec 2006 25% - 50% 5828198
James Alexander Class a common voting shareholder 1 Dec 2006 25% - 50% 5828199
Robin M Alexander Class a common voting shareholder 1 Dec 2006 25% - 50% 5827498
154055 Canada Inc. Class c preferred voting shareholder 1 Dec 2006 75% - 100% foreign entity
Daniel Anglin Managing member 1 Feb 2007 75% - 100% 5828205
Llc Prince Henry Management Managing member 1 Jun 2009 Other 20-8461243
Inc. Superior Technology Portfolio Sole shareholder 1 Jan 2010 75% - 100% foreign entity
Kenneth Hillel Shubin Stein Manager 1 Jul 2015 75% - 100% 5306215

Based in New York

The principal office where Spencer Capital Management, LLC performs its advisory services is located at 79 Madison Ave, New York, NY 10011, 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 (646)-546-5078 or by fax (646) 349-9642. The normal business hours are 9am-6pm on Monday - Friday. You can find more information about the New York firm at spencercapital.com.