Client One Securities LLC (Leawood)

Name: Client One Securities LLC
Address: 11460 Tomahawk Creek Parkway, Leawood, KS, 66211
Telephone: 913-814-6097

Client One Securities LLC is a large advisory firm based in Leawood. It manages $860.37 million of regulatory assets for 9,166 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 47 other states.

Client One Securities provides financial planning services, portfolio management for individuals and small businesses, and selection of other advisers. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Client One Securities: assets under management

The assets under management (AUM) of Client One Securities LLC is $860.37 million. The firm's AUM has grown by 1058% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $787.52 million in discretionary accounts and $72.85 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $86.24 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $2.14 million.

Investments

The firm invests in exchange traded securities the most. They account for 46% of the total AUM. The second-largest asset type is investment and business development companies, which make up 43% of the firm’s portfolio. Investments in cash and cash equivalents form 8% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Client One Securities LLC for their services and products based on a percentage of assets under management and hourly charges. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Michael Richard Tripses serves?

The firm provides services to individuals, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Michael Richard Tripses is high net worth individuals with 1,643 clients and $442.25 million of assets under management. Among the 11 most similar advisory firms, Client One Securities has the 4th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $860.37 million for 9,156 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.

Client One Securities doesn't advise any private funds.

Careers at Client One Securities LLC

The company employs 107 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 107 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 doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Michael Richard Tripses has been acting as President since 1 Dec 2009. Jeffrey Neal Eisenhauer joined the executive team most recently as the Interm President And Ceo, Cco.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Creative One Marketing Corporation	Sole member	1 Dec 2009	75% - 100%	48-0992718
Michael Richard Tripses	Director	1 Dec 2009	Other	1830164
William Holl Moneymaker	Director	1 Dec 2009	Other	5759071
Michael Charles Tuma	Ceo/cco/president	1 Dec 2009	Other	1639356
Creative Marketing International Corp.	Sole member	1 Dec 2009	75% - 100%	48-0992718
Wilma Uribe Kiernan	Finop	1 Sep 2010	Other	5522174
Sandra Kay Monical	Coo	1 Nov 2012	Other	1395363
Daniel Francis Kiernan	Finop	1 Dec 2013	Other	1874759
James Dale Thompson	Ceo, cco, president	1 Feb 2017	Other	3081023
Susan Ann Hayes	Finop	1 Mar 2017	Other	2856326
Jeffrey Neal Eisenhauer	Interm president and ceo, cco	1 Apr 2017	Other	2345135

Indirect Owners

The SEC currently registers 9 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Aviva Usa Corporation	Majority shareholder	1 Jun 2006	75% - 100%	42-1458424
Aviva Int'l Holdings Ltd.	Majority shareholder	1 Nov 2006	75% - 100%	foreign
Aviva Insurance Ltd	Majority shareholder	1 Nov 2006	75% - 100%	foreign
Aviva Int'l Insurance Ltd	Majority shareholder	1 Nov 2006	75% - 100%	foreign
Aviva Group Holdings Ltd	Majority shareholder	1 Nov 2006	75% - 100%	foreign
Aviva Plc	Majority shareholder	1 Nov 2006	75% - 100%	foreign
Inc. Cm2 Holding Company	Shareholder	1 Sep 2013	75% - 100%	46-3249694
William Holl Moneymaker	Shareholder	1 Sep 2013	25% - 50%	5759071
Michael Richard Tripses	Shareholder	1 Sep 2013	50% - 75%	1830164

Based in Leawood

The principal office where Client One Securities LLC performs its advisory services is located at 11460 Tomahawk Creek Parkway, Leawood, KS 66211, which is also the mailing address of the firm. An additional office of the firm is in Picayune, MS. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 913-814-6097 or by fax 913-273-1453. The normal business hours are fri 8am-4pm on Other. You can find more information about the New York firm at client1securities.com.