Berger/Bay Isle LLC (Denver)


Berger/Bay Isle LLC is a large advisory firm based in Denver. It manages $400 million of regulatory assets for 347 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Arizona, California, Colorado, and 23 other states.

Berger/Bay Isle provides portfolio management for individuals and small businesses and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Berger/Bay Isle: assets under management

The assets under management (AUM) of Berger/Bay Isle LLC is $400 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 21% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $400 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.15 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Berger/Bay Isle LLC 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.

Careers at Berger/Bay Isle LLC

William Franz Kim Schaff has served as the Chief Investment Officer since 1 Nov 1998. Berger Llc joined the executive team most recently as the Member.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Bay Isle Financial Corporation Member 1 Nov 1998 Other 68-0098309
Gary Pollock Chief operating officer 1 Nov 1998 Other 1590194
William Franz Kim Schaff Chief investment officer 1 Nov 1998 Other 1577475
Bay Isle Financial Llc Member 1 Nov 1998 Other 119026
Jack Ralph Thompson President and ceo 1 May 1999 Other 1703363
David Gerhard Mertens Vice president 1 May 1999 Other 1070500
Berger Llc Member 1 Sep 1999 75% - 100% 105125
Berger Financial Group Llc Member 1 Sep 1999 75% - 100% 105125

Indirect Owners

The SEC currently registers 4 indirect owners.

Name Entity Date acquired Ownership Employer ID
Gary Pollock Owner 1 Jun 1986 25% - 50% 1590194
William Franz Kim Schaff Owner 1 Feb 1989 50% - 75% 1577475
Inc. Stilwell Management Member manager 1 Sep 1999 75% - 100% 13-2750052
Stilwell Financial Inc. Shareholder 1 Sep 1999 75% - 100% 43-1804048

Based in Denver

The principal office where Berger/Bay Isle LLC performs its advisory services is located at 210 University Blvd, Denver, CO 80206, 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 303-329-0200 or by fax 303-329-8719. The normal business hours are 7:00 a.m.-5:00 p.m. on Monday - Friday.