Thomas Weisel Asset Management LLC (San Francisco)

Name: Thomas Weisel Asset Management LLC
Address: One Montgomery Street, San Francisco, CA, 94104
Telephone: 415-364-2500

Thomas Weisel Asset Management LLC is a large advisory firm based in San Francisco. It manages $175.8 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdiction of California.

Thomas Weisel Asset Management provides 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.

Thomas Weisel Asset Management: assets under management

The assets under management (AUM) of Thomas Weisel Asset Management LLC is $175.8 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -12% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $175.8 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $87.9 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Thomas Weisel 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.

Careers at Thomas Weisel Asset Management LLC

Stephen John Bushmann joined the executive team most recently as the Cfo.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Thomas Weisel Partners Group Llc	Managing member	1 Jan 2001	75% - 100%	94-3310171
Inc Thomas Weisel Partners Group	Managing member	1 Jan 2001	75% - 100%	94-3310171
David Anthony Baylor	General counsel & secretary	1 May 2001	Other	2361024
Joel Ray Jacobs	Chief executive officer	1 May 2001	Other	1288062
Robert Kennedy West	Chief financial officer	1 May 2001	Other	4368217
Christopher Eric Nordquist	Chief operations officer	1 Jan 2002	Other	4127356
James Paul Record	Chief compliance officer	1 May 2002	Other	4455403
Mary Elizabeth Avella	Chief financial officer	1 May 2002	Other	4317172
Shelly Tam	Cotroller	1 Nov 2003	Other	4018967
Pamela Irene Fong	Chief compliance officer	1 Mar 2005	Other	1393488
James Paul Record	Chief compliance officer	1 Mar 2006	Other	4455403
Howard Jack Helfand	General counsel	1 Mar 2006	Other	4766604
Thomas Wilson Weisel	Chairman, board of managers	1 Nov 2006	Other	462213
Paul Christian Slivon	Member, board of managers	1 Nov 2006	Other	1148548
Kenneth Andrew Korngiebel	Member, board of managers	1 Nov 2006	Other	2787476
Cynthia Perez	Chief operating officer	1 Jan 2007	Other	1769327
Mark Philip Fisher	Chief legal officer	1 Mar 2007	Other	4970942
Shaugn Stephen Stanley	Cfo	1 Apr 2008	Other	1693277
Donald Lee Mahon	Chief compliance officer	1 Jul 2008	Other	2890417
Christine Mevs	Chief compliance officer	1 May 2009	Other	2873604
Ryan James Stroub	Cfo	1 May 2009	Other	3098642
Rita Stephanie Kazembe	Chief compliance officer	1 Oct 2011	Other	5907486
Michael James Derrick	Chief financial officer	1 Jul 2012	Other	5577693
Peter Roserio Guarino	Chief compliance officer	1 Sep 2012	Other	1276310
Stephen John Bushmann	Cfo	1 Nov 2012	Other	2778234

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Stifel Financial Corp	Shareholder	1 Jul 2010	75% - 100%	43-1274600

Based in San Francisco

The principal office where Thomas Weisel Asset Management LLC performs its advisory services is located at One Montgomery Street, San Francisco, CA 94104, 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 415-364-2500 or by fax 415-364-2694. The normal business hours are 6:00 am to 6:00 pm on Monday - Friday. You can find more information about the New York firm at tweisel.com.