Imperial Capital Asset Management LLC (Los Angeles)

Imperial Capital Asset Management LLC is a large advisory firm based in Los Angeles. It manages $120.57 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdiction of California.

Imperial Capital Asset Management provides portfolio management for pooled investment vehicles and icam provides debt and equity investment research reports to 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.

Imperial Capital Asset Management: assets under management

The assets under management (AUM) of Imperial Capital Asset Management LLC is $120.57 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 211% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $120.57 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $120.57 million each.

Imperial Capital Asset Management has custody of $120.57 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 Imperial Capital 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.

What kind of clients Imperial Capital Asset Management serves?

The firm provides services to other investment advisers and pooled investment vehicles. The largest group of clients of Imperial Capital Asset Management is pooled investment vehicles with 1 clients and $120.57 million of assets under management. Among the 9 most similar advisory firms, Imperial Capital Asset Management has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $120.57 million for 157 clients. 65% of the firm’s clients are foreign persons or businesses.

Imperial Capital Asset Management also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at Imperial Capital Asset Management LLC

The company employs 24 people that are either part- or full-time employees. 71 percent of the employees work as investment advisers or researchers. 21 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Llc Imperial Capital Group	Member	1 Aug 1997	75% - 100%	95-464493
Jason Walter Reese	Chairman and ceo	1 Sep 1997	Other	1797886
Mark Christopher Martis	Coo	1 Sep 1997	Other	1598950
Daniel Robert Guay	Controller	1 Jul 1998	Other	4015808
Christopher Paul Shepard	Investment committee member	1 Apr 2000	Other	2573978
Catherine Ellis Schafer	Chief compliance officer	1 Jul 2000	Other	2231752
Harry Hyonyang Chung	Cfo	1 Jul 2009	Other	3252178
Brian David Beldham	Chief compliance officer	1 Mar 2012	Other	3200052
Jennifer Gatherer	Chief compliance officer	1 Oct 2012	Other	2537839
Llc. Icam Holdings	Member	1 Jan 2014	75% - 100%	46-3903112
Philip Ronald Harrington	Cfo	1 Mar 2014	Other	5211644
Todd Edmund Wiench	Chief compliance officer	1 Jun 2014	Other	5361575

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Randall Evan Wooster	Member	1 Jun 2001	50% - 75%	1822107
Jason Walter Reese	Member	1 Jun 2001	50% - 75%	1797886
Llc Imperial Capital Group Holdings	Member	1 Jan 2002	75% - 100%	95-4873281
Llc Imperial Capital Group Holdings	Member	1 Jan 2014	75% - 100%	95-4873281

Based in Los Angeles

The principal office where Imperial Capital Asset Management LLC performs its advisory services is located at 10100 Santa Monica Blvd., Los Angeles, CA 90067, 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 310-246-3700 or by fax 310-777-3096. The normal business hours are 6:00a.m. to 4:00 p.m. on Monday - Friday.