Spa Etfs Inc. (New York)

Name: Spa Etfs Inc.
Address: Tower 49, 12 East 49 Th Street, New York, NY, 10017
Telephone: 212-663-1595

Spa Etfs Inc. is an adviser based in New York. It manages $18.22 million of regulatory assets for 6 client accounts. It has been registered with the SEC as an adviser since 2008.

Spa Etfs provides portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Spa Etfs: assets under management

The assets under management (AUM) of Spa Etfs Inc. is $18.22 million, all of which is managed in discretionary accounts. The company doesn't manage any assets belonging to foreign clients.

The firm manages $18.22 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.04 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Spa Etfs Inc. 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 Spa Etfs Inc.

Matthew Barrett Brown joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Spa Etf International Limited	Direct owner	1 May 2007	75% - 100%	143936
Daniel Keith Freedman	Chief executive officer	1 May 2007	Other	4832895
Antony Peter Drain	Trustee and president	1 Oct 2007	Other	4830264
Matthew Barrett Brown	Chief compliance officer	1 May 2008	Other	4859559
Cliff Warner	Director of operations	1 May 2008	Other	5535458
Colin Levins	Chief financial officer	1 May 2008	Other	5535459

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Daniel Keith Freedman	Shareholder	1 Dec 1986	25% - 50%	4832895
Richard Warren Leigh	Shareholder	1 Dec 1986	25% - 50%	4843708
London And Capital Group Ltd.	Shareholder	1 Jul 1999	75% - 100%	foreign entity

Based in New York

The principal office where Spa Etfs Inc. performs its advisory services is located at Tower 49, 12 East 49 Th Street, New York, NY 10017, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 212-663-1595. The normal business hours are 9:00am to 5:00pm on Monday - Friday. You can find more information about the New York firm at www.spa-etf.com.