Spm Jr., L.L.C. (Stamford)

Spm Jr., L.L.C. is a large advisory firm based in Stamford. It manages $204.74 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdiction of Connecticut.

Spm Jr., L.L.C provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Spm Jr., L.L.C: assets under management

The assets under management (AUM) of Spm Jr., L.L.C. is $204.74 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 94% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $204.74 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $68.25 million each.

Spm Jr., L.L.C has custody of $204.74 million in cash and securities for 3 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Spm Jr., L.L.C. for their services and products based on a percentage of assets under management and performance-based 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.

Careers at Spm Jr., L.L.C.

Kenneth Cron has been acting as President since 1 Apr 2007. Nicholas Pierre Vassalli joined the executive team most recently as the Managing Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Donald Ian Brownstein	Chief executive officer	1 Feb 2003	Other	4364423
Christopher Russell	Chief operating officer	1 Feb 2003	Other	4364432
Structured Portfolio Management Llc	Owner/member/manager	1 Feb 2003	75% - 100%	108756
William Leong Mok	Managing director	1 Feb 2003	Other	1904217
Christopher Gerard Russell	Chief operating officer	1 Feb 2003	Other	4364432
Yong Liu	Managing director	1 Feb 2003	Other	4364438
Jeffrey Kong	Managing director	1 Feb 2003	Other	1653091
Jenelle Renee Scanlon	Compliance officer/vice president	1 Apr 2003	Other	4761996
Jenelle Scanlon	Compliance officer/assistant vice president	1 Mar 2004	Other	4761996
Jenelle Renee Scanlon	Compliance officer/assistant vice president	1 Mar 2004	Other	4761996
Llc Nsp	Owner (class b interest)	1 Apr 2006	75% - 100%	51-0666918
Llc Structured Affiliates	Owner (class b interest)	1 Apr 2006	75% - 100%	51-0666918
Kenneth Cron	President	1 Apr 2007	Other	5316858
Ward James Mcgraw	Chief financial officer	1 Jul 2008	Other	2039132
Nicholas Pierre Vassalli	Managing director	1 Mar 2011	Other	5444049
Timothy John Yves Roberts	Managing director	1 Mar 2011	Other	2307754

Indirect Owners

The SEC currently registers 32 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Ronald Warren Sellers	Owner	1 Jun 1996	25% - 50%	1474762
Donald Ian Brownstein	Managing member	1 Oct 1996	50% - 75%	4364423
L.L.C Upper Shad Associates	Member manager	1 Mar 1997	25% - 50%	13-3921476
Mizuho Corporate Bank (Usa)	Owner	1 Jul 1999	75% - 100%	xxx-xx-xxxx
L.L.C. Atlantic Asset Management	Owner/member/manager	1 Jan 2000	25% - 50%	22-3484717
Mizuho Corporate Bank Ltd.	Owner	1 Jan 2002	75% - 100%	xxx-xx-xxxx
Inc Mizuho Holdings	Owner	1 Jan 2002	75% - 100%	xxx-xx-xxxx
Inc. Mizuho Financial Group	Owner	1 Jan 2002	75% - 100%	xxx-xx-xxxx
Putnam Lovell Equity Advisors Llc	General partner	1 Jun 2003	Other	95-4802253
Services Depot Cdpq Us Inc	Limited partner	1 Jun 2003	25% - 50%	00-0000000
Pf Insurance Company	Limited partner	1 Jun 2003	25% - 50%	39-0989781
Putnam Lovell Capital Partners Inc.	Managing member	1 Jun 2003	75% - 100%	95-4653753
Putnam Lovell Group Inc.	Sole shareholder	1 Jun 2003	75% - 100%	95-3283346
National Bank Of Canada	Sole shareholder	1 Jun 2003	75% - 100%	00-0000000
Caisse Depot El Placement Du Quebec	Shareholder	1 Jun 2003	75% - 100%	00-0000000
Aegon Usa Inc.	Shareholder	1 Jun 2003	75% - 100%	42-1310237
Aegon N.V.	Shareholder	1 Jun 2003	75% - 100%	00-0000000
Lp Putnam Lovell Equity Partners	Owner	1 Jun 2003	25% - 50%	95-48022576
Lovell Minnick Equity Advisors Llc	General partner	1 Jun 2003	Other	95-4802253
Pf Life Insurance Company	Limited partner	1 Jun 2003	25% - 50%	39-0989781
Lovell Minnick Equity Partners Lp	Owner	1 Jun 2003	25% - 50%	95-48022576
Llc Lovell Minnick Partners	Sole managing member	1 Feb 2004	Other	20-0493456
Lovell Minnick Holdings Llc	Sole managing member	1 Feb 2004	Other	20-0498914
Jeffrey Dale Lovell	Co-managing member	1 Feb 2004	50% - 75%	1095362
James Edward Minnick	Co-managing member	1 Feb 2004	25% - 50%	716204
Jennings Jay Newcom	Co-managing member	1 Feb 2004	25% - 50%	4358060
Bowman Partners Lp	Limited partner	1 Nov 2004	25% - 50%	00-0000000
Bowman Partners Gp Co.	General partner	1 Nov 2004	Other	00-0000000
Frank Russell Investments (Cayman) Ltd.	Shareholder	1 Nov 2004	75% - 100%	00-0000000
Frank Russell Company	Shareholder	1 Nov 2004	75% - 100%	91-117509
Pantheon Global Secondary Fund Ii Limited	Limited partner	1 Nov 2004	25% - 50%	00-0000000
L.L.C. Structured Partners	Owner	1 Dec 2007	25% - 50%	20-3275532

Based in Stamford

The principal office where Spm Jr., L.L.C. performs its advisory services is located at Clearwater House, 2187 Atlantic Street, Stamford, CT 06902, 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 203-351-2870 or by fax 203-351-2879. The normal business hours are 9:00am-5:00pm on Monday - Friday.