Financial Engines Advisors L.L.C. (Sunnyvale)

Name: Financial Engines Advisors L.L.C.
Address: 1050 Enterprise Way, Sunnyvale, CA, 94089
Telephone: 408-498-6000

Financial Engines Advisors L.L.C. is a large advisory firm based in Sunnyvale. It manages $181.3 billion of regulatory assets for 1,405,644 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

Financial Engines Advisors L.L.C provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, publication of newsletters, educational seminars and workshops, and general consulting. It prepares financial plans for approximately 84,000 clients. On top of advisory services, the firm doesn't engage in other business activities.

Financial Engines Advisors L.L.C: assets under management

The assets under management (AUM) of Financial Engines Advisors L.L.C. is $181.3 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 1055% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $181.3 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $128.98 thousand each.

Financial Engines Advisors L.L.C has custody of $14.39 billion in cash and securities for 43,649 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in pooled investment vehicles the most. They account for 60% of the total AUM. The second-largest asset type is investment and business development companies, which make up 39% of the firm’s portfolio. Investments in cash and cash equivalents form 1% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Financial Engines Advisors L.L.C. for their services and products based on a percentage of assets under management, hourly charges, subscription fees, and fixed 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 John Bradley Bunch serves?

The firm provides services to individuals, charitable organizations, other investment advisers, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of John Bradley Bunch is other investment advisers with 681,586 clients and $85.1 billion of assets under management. Among the 11 most similar advisory firms, Financial Engines Advisors L.L.C has the 2nd highest percentage of other investment advisers out of all clients.

The amount of regulatory assets under management is $181.3 billion for 1,154,215 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Financial Engines Advisors L.L.C doesn't advise any private funds.

Careers at Financial Engines Advisors L.L.C.

The company employs 1,426 people that are either part- or full-time employees. 42 percent of the employees work as investment advisers or researchers. 592 employees are registered as investment adviser representatives with the state securities authorities.

There are 5 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.

John Bradley Bunch has been acting as President since 1 Feb 2016. Christopher Leigh Jones has served as the Chief Investment Officer since 1 Jan 2006. Mario Marques Ramos joined the executive team most recently as the Executive Vice President, Chief Financial Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Financial Engines	Parent	1 Dec 1997	75% - 100%	94-3250323
Joseph Alexander Grundfest	Manager	1 Dec 1997	Other	4303480
Llc Edelman Financial Engines	Member manager	1 Dec 1997	75% - 100%	94-3250323
Llc Financial Engines	Member manager	1 Dec 1997	75% - 100%	94-3250323
Jeffrey Nacey Maggioncalda	Manager, ceo & president	1 Dec 1997	Other	4303483
Raymond Jay Sims	Executive vice president & cfo & cro	1 Nov 1999	Other	4303490
Christopher Leigh Jones	Chief investment officer	1 Jan 2006	Other	4947103
Anne Tuttle Cappel	Executive vice president, general counsel	1 Mar 2006	Other	5124419
Anne Stuart Tuttle	Executive vice president, general counsel	1 Mar 2006	Other	5124419
Lewis Emerson Antone	Chief compliance officer	1 Aug 2008	Other	2598478
Debra Ruth Babbitt	Chief compliance officer	1 Oct 2011	Other	717899
Lawrence Michael Raffone	President	1 Nov 2012	Other	1933698
Dexter Sage Buck	Chief compliance officer	1 Jun 2013	Other	1824490
Lawrence Michael Raffone	Manager, ceo & president	1 Jan 2015	Other	1933698
John Bradley Bunch	President	1 Feb 2016	Other	1908764
Lewis Emerson Antone	Executive vice president, general counsel	1 Mar 2016	Other	2598478
Kelly Susan O'donnell	Executive vice president, business operations & corporate strategy, cro	1 May 2016	Other	5457245
Kelly Susan O'donnell	Executive vice president, and chief administrative officer and chief risk officer	1 Feb 2017	Other	5457245
Craig Lynn Foster	Executive vice president & cfo	1 Sep 2017	Other	4995784
Jonathan David Robbins	Chief compliance officer	1 Dec 2017	Other	4713929
Mario Marques Ramos	Executive vice president, chief financial officer	1 Apr 2019	Other	2796105

Indirect Owners

The SEC currently registers 15 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Llc The Edelman Financial Engines Center	Managing member	1 Jul 2018	75% - 100%	81-0672613
Llc Edelman Financial Engines Holdings Iv	Managing member	1 Jul 2018	75% - 100%	35-2546758
Llc Edelman Financial Engines Holdings Iii	Managing member	1 Jul 2018	75% - 100%	47-5324976
Llc Edelman Financial Engines Holdings I	Managing member	1 Jul 2018	75% - 100%	36-4729849
Inc. Edelman Financial Engines Holdings Ii	Managing member	1 Jul 2018	75% - 100%	30-0729817
L.P. Edelman Financial Engines	Member of financial engines edelman holdings i, llc	1 Jul 2018	75% - 100%	80-0802947
Llc Edelman Financial Engines Investments	Member	1 Jul 2018	25% - 50%	76-0583569
Llc H&F Flight Gp	General partner	1 Jul 2018	Other	47-5302425
Llc The Financial Engines Edelman Center	Managing member	1 Jul 2018	75% - 100%	81-0672613
Llc Financial Engines Edelman Holdings Iv	Managing member	1 Jul 2018	75% - 100%	35-2546758
Llc Financial Engines Edelman Holdings Iii	Managing member	1 Jul 2018	75% - 100%	47-5324976
Llc Financial Engines Edelman Holdings I	Managing member	1 Jul 2018	75% - 100%	36-4729849
Inc. Financial Engines Edelman Holdings Ii	Managing member	1 Jul 2018	75% - 100%	30-0729817
Llc Financial Engines Edelman Investments	Member	1 Jul 2018	25% - 50%	76-0583569
L.P. Financial Engines Edelman	Member of financial engines edelman holdings i, llc	1 Jul 2018	75% - 100%	80-0802947

Based in Sunnyvale

The principal office where Financial Engines Advisors L.L.C. performs its advisory services is located at 1050 Enterprise Way, Sunnyvale, CA 94089, which is also the mailing address of the firm. An additional office of the firm is in Bethesda, MD. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 408-498-6000 or by fax 408-498-6010. The normal business hours are 9:00 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at financialengines.com.