Structured Asset Investors, LLC (New York)

Structured Asset Investors, LLC is a large advisory firm based in New York. It manages $168.41 million of regulatory assets for 6 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 47 other states.

Structured Asset Investors provides portfolio management for investment companies 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.

Structured Asset Investors: assets under management

The assets under management (AUM) of Structured Asset Investors, LLC is $168.41 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -84% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $168.41 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $28.07 million each.

Structured Asset Investors has custody of $20.36 million in cash and securities for 1 client in total and its related person acts as a qualified custodian.

Investments

The firm invests in government bonds the most. They account for 94% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 3% of the firm’s portfolio. Investments in derivatives form 3% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Structured Asset Investors, LLC for their services and products based on a percentage of assets under management 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 Benjamin Robert Adams serves?

The firm provides services to investment companies, other investment advisers, and state or municipal government entities. The largest group of clients of Benjamin Robert Adams is investment companies with 1 clients and $62.55 million of assets under management. Among the 7 most similar advisory firms, Structured Asset Investors has the 2nd highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $112.41 million for 7 clients. 18% of the firm’s clients are foreign persons or businesses.

Structured Asset Investors doesn't advise any private funds.

Careers at Structured Asset Investors, LLC

The company employs 255 people that are either part- or full-time employees. 89 percent of the employees work as investment advisers or researchers. 236 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone 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 receive compensation from other entities for client referrals.

Benjamin Robert Adams has been acting as President since 1 May 2013. Yu Ming Wang has served as the Chief Investment Officer since 1 May 2004 and Richard Paul Silva is the Chief Executive Officer of Structured Asset Investors, LLC family office. Jessica L Smith joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Austin Mcdonnell Rodgers	Managing director	1 Mar 2002	Other	1823638
Wells Fargo & Company	Shareholder	1 May 2004	75% - 100%	41-0449260
Wachovia Corporation	Shareholder	1 May 2004	75% - 100%	56-0898180
Thomas Scott Wickwire	Managing director; manager	1 May 2004	Other	2112790
Yu Ming Wang	Chief investment officer	1 May 2004	Other	2695777
Curtis Yates Arledge	President	1 May 2004	Other	1754736
David Leeland Gaines	Manager	1 May 2004	Other	4782468
Renee Mclaughlin Allen	Chief compliance officer	1 May 2004	Other	1671337
Darrell Ralph Baber	Managing director	1 May 2004	Other	1716333
James Patrick Burke	Director	1 Oct 2004	Other	2438160
Michael Neal Thompson	Director	1 Oct 2004	Other	4434834
William Kingsley Weatherly	Director	1 Oct 2004	Other	2592500
Brian Michael Moran	Chief compliance officer	1 Oct 2004	Other	1940341
Walter Merrill Pringle	Director	1 Oct 2004	Other	2992932
Bryan Patrick Mcgrath	Vice president	1 Oct 2004	Other	4817976
Douglas Roy Wilson	Vice president	1 Oct 2004	Other	4817980
Lori Hartman	Assistant secretary	1 Oct 2004	Other	4940595
Robert Lendino	Senior vice president/secretary	1 Oct 2004	Other	4943111
David Shutley	Director	1 Oct 2004	Other	4943123
Lori Anne Hartman	Assistant secretary	1 Oct 2004	Other	4940595
Robert Gerard Lendino	Senior vice president/secretary	1 Oct 2004	Other	4943111
David Reed Shutley	Director	1 Oct 2004	Other	4943123
John Joseph Bresnan	Managing director	1 Mar 2005	Other	1367559
Ronald Edward Schumer	Director	1 Mar 2005	Other	2671949
Christopher Jon Foster	Vice president	1 Jul 2005	Other	4971342
Kenneth Michael Gacevich	Director	1 Sep 2005	Other	4668574
Leah Ward Torstrick	Director	1 Sep 2005	Other	2768787
Kevin Thomas Mcconnell	Director	1 Sep 2005	Other	1709172
Brendan Noel Thorpe	Vice president	1 Sep 2005	Other	2770911
John Joseph Bresnan	President	1 Nov 2005	Other	1367559
Brendan Noel Thorpe	Vice president	1 Nov 2005	Other	2770911
Dominic Patrick Barakat	Vice president	1 Jan 2006	Other	4226069
John Thomas Trainor	Director	1 Jan 2006	Other	3237389
Scott Gary Vanhatten	Vice president and secretary	1 Jan 2006	Other	5094484
Dominic Patrick Barakat	Vice president	1 Feb 2006	Other	4226069
John Thomas Trainor	Director	1 Feb 2006	Other	3237389
Scott Gary Vanhatten	Vice president and secretary	1 Feb 2006	Other	5094484
Charles John Wolter	Managing director	1 May 2006	Other	4602059
Marvin Seay Cash	Director	1 May 2006	Other	4832500
Kevin Sean Barlas	Director	1 May 2006	Other	5028002
Abizar Rangwala	Director	1 May 2006	Other	2542857
Julie Ann Caperton	Svp and secretary	1 Jun 2006	Other	5166947
Elizabeth Anne Herbener	Assistant secretary	1 Oct 2006	Other	5254206
Simon Andrew Cann	Managing director	1 Oct 2006	Other	5254207
Kevin Richard Mccarthy	Managing director	1 Oct 2006	Other	2978979
James Anthony Gray	Director	1 Oct 2006	Other	4674453
Ryan Armand Zanin	Managing director	1 Nov 2006	Other	5254196
Scott Clarke Taylor	Director	1 Nov 2006	Other	1460621
Scott Clarke Taylor	Chief compliance officer	1 Dec 2006	Other	1460621
David Lee Hunt	Vp, chief compliance officer	1 Feb 2007	Other	2772872
Susan Austin Mccarter	Vp and secretary	1 Nov 2007	Other	2284943
Scott Clarke Taylor	Chief compliance officer	1 Dec 2007	Other	1460621
Dashiell Ives Robinson	Vice president	1 May 2008	Other	4580081
Julie Ann Caperton	President of sai and managing director/managing member	1 Feb 2009	Other	5166947
Darren James Esser	Vice president/elected manager	1 Aug 2010	Other	5059878
Robert Salvucci	Treasurer	1 Dec 2010	Other	1895276
Jeffrey M Johnston	Officer	1 Dec 2010	Other	5092452
Carla Rafaella Corona	Assistant secretary	1 Jun 2011	Other	5937243
Walter Ernesto Dolhare	Managing director/managing member	1 Aug 2011	Other	2071314
John Richard Shrewsberry	Officer - wells fargo portfolio risk advisors division	1 Aug 2011	Other	2264673
Christopher Hammond Bartlett	Officer - wells fargo portfolio risk advisors division	1 Aug 2011	Other	1570969
William Andrew Threadgill	Managing director/chief administrative officer - wfpra division/elected manager	1 Sep 2011	Other	2855147
Richard Paul Silva	Chief investment officer - wells fargo portfolio risk advisors division	1 Sep 2011	Other	2091006
Philip S Douthit	Director/portfolio manager - wfpra division/elected manager	1 Oct 2011	Other	2918617
Benjamin Robert Adams	Director/portfolio manager - wells fargo portfolio risk advisors division	1 Oct 2011	Other	2902450
Diana L Lea Kahle	Secretary	1 May 2012	Other	6067610
Richard Paul Silva	Managing director/chief executive officer/president- wfpra division/elected manager	1 May 2013	Other	2091006
Benjamin Robert Adams	Director/chief investment officer - wfpra division/elected manager	1 May 2013	Other	2902450
Stephen Greenwood Nelson	Treasurer	1 Apr 2014	Other	6331119
Jonathan Geoffrey Weiss	Managing director/managing member	1 May 2014	Other	2362764
Walter Ernesto Dolhare	President of sai and managing director/managing member	1 Aug 2015	Other	2071314
Walter Ernesto Dolhare	President	1 Feb 2016	Other	2071314
Richard Paul Silva	Chief investment officer; managing director	1 Feb 2016	Other	2091006
William Andrew Threadgill	Chief administrative officer; managing director	1 Feb 2016	Other	2855147
Benjamin Robert Adams	Director/portfolio manager	1 Feb 2016	Other	2902450
Philip S Douthit	Director/portfolio manager	1 Feb 2016	Other	2918617
Diana L Lea Kahle	Assistant secretary	1 Feb 2016	Other	6067610
Darren James Esser	Vice president	1 Feb 2016	Other	5059878
Thomas Michael Kelly	Chief compliance officer	1 Feb 2016	Other	2678085
Susan Austin Mccarter	Vice president	1 Feb 2016	Other	2284943
Jonathan Geoffrey Weiss	Executive vice president	1 Feb 2016	Other	2362764
Victoria Barroso	Secretary	1 Mar 2016	Other	6628269
Michael Francis Riley	Executive vice president	1 Jul 2017	Other	4165280
Paul Andrew Jeanne	Manager	1 Jul 2018	Other	2774421
Jessica L Smith	Chief compliance officer	1 Dec 2018	Other	5209761

Based in New York

The principal office where Structured Asset Investors, LLC performs its advisory services is located at 375 Park Ave, New York, NY 10152, which is also the mailing address of the firm. An additional office of the firm is in Charlotte, NC. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (212) 214-5656. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday.