Shott Capital Management, LLC (San Francisco)

Shott Capital Management, LLC is a large advisory firm based in San Francisco. It manages $1.43 billion of regulatory assets for 38 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California and Massachusetts.

Shott Capital Management provides portfolio management for individuals and small businesses 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.

Shott Capital Management: assets under management

The assets under management (AUM) of Shott Capital Management, LLC is $1.43 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -35% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.43 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $37.67 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Shott Capital Management, LLC for their services and products based on a percentage of assets under management, fixed fees, 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 Shott Capital Management, LLC

Jared Alvah Chase has been acting as President since 1 Nov 2008. The George B. & Mary Lou Shott Trust joined the executive team most recently as the Trustee.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
George Burton Shott	Senior managing director	1 Aug 1996	50% - 75%	2171416
Paul Anthony Reese	Senior managing director	1 Aug 1996	25% - 50%	4362585
Stacey Margaret Taylor	Managing director	1 Jan 1998	Other	1567770
Donald Rogers	Managing director	1 Feb 1999	Other	2865402
Alan Chai	Managing director	1 Mar 2000	Other	4362607
Julie Elizabeth O'donnell	Managing director	1 May 2000	Other	4362610
Llc A Subsidiary Of State Street Corporation State Street Global Alliance	Member	1 Jul 2003	75% - 100%	52-2289770
Llc Capital Alliance Partners	Member	1 Jul 2003	25% - 50%	20-0129257
George Burton Shott	President and chief executive officer	1 Aug 2003	Other	2171416
Paul Anthony Reese	Senior managing director	1 Aug 2003	Other	4362585
Stacey Taylor Brenner	Managing director	1 Aug 2003	Other	1567770
Alan Chai	Managing director	1 Aug 2003	Other	4362607
Julie Elizabeth O'donnell	Managing director	1 Aug 2003	Other	4362610
Paul Wozniak	Chief financial officer	1 Oct 2004	Other	2108587
Roderick Robert Berry	Managing director	1 Nov 2008	Other	1204290
Stephen Paul Minutoli	Managing director	1 Nov 2008	Other	3154994
Glen Michael Holland	Managing director	1 Nov 2008	Other	1415213
Jared Alvah Chase	Director	1 Nov 2008	Other	2356434
Stephen Hathaway Marshall	Director	1 Nov 2008	Other	2723358
Shawn C.D. Johnson	Director	1 May 2009	Other	5610318
Julie Elizabeth O'donnell	Retired	1 Sep 2010	Other	4362610
The George B. & Mary Lou Shott Trust	Trustee	1 Dec 2010	Other	xxx-xx-xxxx

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
State Street Corporation	Owner	1 Jun 1990	75% - 100%	04-2456637
Inc Limetree Investments	Member	1 Jul 2000	25% - 50%	13-4147037
Abp	Shareholder	1 Jul 2000	75% - 100%	04-6288081
Inc State Street Global Advisors	Member	1 Jul 2000	75% - 100%	06-1313175
Stiching Pension Funds Abp	Shareholder	1 Jul 2000	75% - 100%	04-6288081

Based in San Francisco

The principal office where Shott Capital Management, LLC performs its advisory services is located at 601 California Street, San Francisco, CA 94108, 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 415-394-7271 or by fax 415-394-5596. The normal business hours are 8:00 to 5:00pm on Monday - Friday.