Sustainable Growth Advisers, LP (Stamford)

Name: Sustainable Growth Advisers, LP
Address: 301 Tresser Boulevard, Stamford, CT, 06901
Telephone: 203-348-4742

Sustainable Growth Advisers, LP is a large advisory firm based in Stamford. It manages $9.1 billion of regulatory assets for 77 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdictions of California, Colorado, Connecticut, and 22 other states.

Sustainable Growth Advisers provides portfolio management for individuals and small businesses, portfolio management for investment companies, 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.

Sustainable Growth Advisers: assets under management

The assets under management (AUM) of Sustainable Growth Advisers, LP is $9.1 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 60541% since the beginning of its operation, and $3.67 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $9.1 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $118.13 million each.

Investments

The firm invests in exchange traded securities the most. They account for 97% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 3% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Sustainable Growth Advisers, LP 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.

What kind of clients Sustainable Growth Advisers serves?

The firm provides services to individuals, insurance companies, investment companies, charitable organizations, high net worth individuals, pooled investment vehicles, corporations or other businesses, pension and profit sharing plans, state or municipal government entities, and sovereign wealth funds and foreign official institutions. The largest group of clients of Sustainable Growth Advisers is investment companies with 5 clients and $3.67 billion of assets under management. Among the 11 most similar advisory firms, Sustainable Growth Advisers has the 2nd highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $9.1 billion for 435 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 28% of the firm’s clients are foreign persons or businesses.

Sustainable Growth Advisers doesn't advise any private funds.

Careers at Sustainable Growth Advisers, LP

The company employs 24 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 2 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates 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
Gordon Michael Marchand	Principal	1 May 2003	Other	2462298
George Patrice Fraise	Principal	1 May 2003	Other	1739318
Llc Sgia	General partner	1 May 2003	Other	05-0571264
Robert Lawrence Rohn	Principal	1 Nov 2003	Other	2211670
Mary Ellen Greve	Chief compliance officer	1 Dec 2004	Other	2621307
Alexandra Sunah Lee	Research principal	1 Jan 2005	Other	4267332
Kishore D Rao	Research principal	1 Sep 2005	Other	2986784
Michael Tucker Brown	Research principal	1 Apr 2006	Other	2783006
Lp Estancia Capital Partners	Partner	1 Aug 2013	Other	27-0665503
Peter Joseph Seuffert	Chief operating officer	1 Feb 2014	Other	1671642
Daniel Cole Callaway	Chief compliance officer	1 Nov 2015	Other	2885176
Inc. Virtus Partners	Shareholder	1 Jul 2018	50% - 75%	95-4191764

Indirect Owners

The SEC currently registers 7 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Michael Casares Mendez	Trustee	1 Dec 1992	Other	2273279
Cheryl Lynn Mendez	Trustee	1 Dec 1992	Other	6147164
Inc. Virtus Investment Partners	Sole shareholder	1 Nov 2008	75% - 100%	26-3962811
Llc Estancia Managing Directors	Managing member	1 May 2010	75% - 100%	27-2804671
Llc Estancia Gp	General partner	1 Oct 2012	Other	27-0665256
L.L.C. Third Act	Member	1 Jan 2013	50% - 75%	46-1924446
U/T/A Dated December 14 1992 Mendez Family Trust	Managing member	1 Jan 2013	50% - 75%	xxx-xx-xxxx

Based in Stamford

The principal office where Sustainable Growth Advisers, LP performs its advisory services is located at 301 Tresser Boulevard, Stamford, CT 06901, 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 203-348-4742 or by fax 203-348-4732. The normal business hours are 9:00 to 5:00 on Monday - Friday. You can find more information about the New York firm at sgadvisers.com.