Flag Capital Management, LLC (Stamford)

Name: Flag Capital Management, LLC
Address: 1266 East Main Street, Stamford, CT, 06902
Telephone: 203-352-0440

Flag Capital Management, LLC is a large advisory firm based in Stamford. It manages $5.12 billion of regulatory assets for 39 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of California, Colorado, Connecticut, and 12 other states.

Flag Capital Management provides 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.

Flag Capital Management: assets under management

The assets under management (AUM) of Flag Capital Management, LLC is $5.12 billion. The firm's AUM has grown by 483% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $5.04 billion in discretionary accounts and $80 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $136.33 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $40 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Flag Capital 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.

Careers at Flag Capital Management, LLC

Beverley (Nmn) Hendry has been acting as President since 1 Sep 2015. Andrew Alasdair Smith joined the executive team most recently as the President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Louis Peter Lawrence	Member and managing partner	1 Oct 1994	Other	5078727
Diana Human Frazier	Member and managing partner	1 Oct 1994	Other	5078729
L.P. Edgewater Investment Partners	Member	1 Jan 2002	75% - 100%	36-4335668
Louis Sciarretta	Chief operating officer	1 Jan 2002	Other	5078836
L.P. Streamliner Partners	Member	1 Jan 2002	25% - 50%	06-1568819
Kathryn Price Lucier	Member and partner	1 Jan 2003	Other	2025534
Peter Lockwood Denious	Member and partner	1 Jan 2004	Other	2235046
Michael Sullivan	Member and partner	1 Jan 2004	Other	5078844
Alexis Athens Palmer	Principal	1 Apr 2006	Other	3140920
Karen Marie Hansen	General counsel and chief compliance officer	1 May 2006	Other	5291197
James Henry Gasperoni	Partner and member	1 Jul 2006	Other	5291191
Arthur Man	General counsel / chief compliance officer	1 Sep 2006	Other	4402724
Timothy Clarke Fritzinger	Principal	1 Jan 2007	Other	5291192
Scott Whitman Reed	Member and partner	1 Mar 2007	Other	2261250
Daniel Christopher Iamiceli	Cfo	1 Oct 2009	Other	5075105
Keqing Wei	Principal	1 Dec 2009	Other	5762305
John Williams Dickie	Principal	1 Nov 2010	Other	5898304
Arthur Man	General counsel / chief compliance officer	1 Sep 2011	Other	4402724
Warren Chang	Principal	1 Mar 2012	Other	6312998
Kirsten Morin	Principal	1 Jun 2014	Other	6468461
Aberdeen Asset Management Inc.	Member	1 Aug 2015	75% - 100%	111069
Beverley (Nmn) Hendry	President	1 Sep 2015	Other	4375005
Andrew Alasdair Smith	President	1 Sep 2015	Other	4909668
Ralph Emerson Bassett	Vice president	1 Sep 2015	Other	6519917
Jeffrey Lawrence Cotton	Vice president	1 Sep 2015	Other	4713561
Lisa Kupper	Secretary	1 Sep 2015	Other	6291029
Richard F. Fonash	Vice president	1 Sep 2015	Other	4705848
Alan Robin Goodson	Vice president	1 Sep 2015	Other	4492919
Tracey J Grant	Vice president	1 Sep 2015	Other	5070819
Gene R. Janvier	Vice president	1 Sep 2015	Other	4537626
Andrea Lee Melia	Vice president	1 Sep 2015	Other	2174935
Christopher Michael Edwards	Vice president	1 Sep 2015	Other	5873271
Jennifer Ann Nichols	Vice president	1 Sep 2015	Other	5376493
Sofia Rosala	Vice president, cco	1 Sep 2015	Other	3184911
Charles Tan	Vice president	1 Sep 2015	Other	6418914
Marika Irma Tooze	Vice president	1 Sep 2015	Other	6148744

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
1999 Lawrence Descendant's Trust	Limited partner	1 Jan 2002	75% - 100%	36-7297041
Louis Peter Lawrence	General partner	1 Jan 2002	Other	5078727
Josh L. Frazier Exemption Trust Under The Diana H. Frazier 2000 Descendants Trust	Limited partner	1 Jan 2002	75% - 100%	01-1111111
Diana Human Frazier	General partner	1 Jan 2002	Other	5078729

Based in Stamford

The principal office where Flag Capital Management, LLC performs its advisory services is located at 1266 East Main Street, Stamford, CT 06902, which is also the mailing address of the firm. An additional office of the firm is in Boston, MA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 203-352-0440 or by fax 203-352-0441. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at flagcapital.com.