Validus Growth Investors, LLC (San Diego)


Validus Growth Investors, LLC is a mid-sized advisory firm based in San Diego. It manages $57.66 million of regulatory assets for 20 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdiction of California.

Validus Growth Investors provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and model portfolio adviser. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Validus Growth Investors: assets under management

The assets under management (AUM) of Validus Growth Investors, LLC is $57.66 million. The firm's AUM has grown by 510% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.53 million in discretionary accounts and $56.13 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $170.39 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $5.1 million.

Investments

The firm invests in exchange traded securities the most. They account for 95% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 5% of the firm’s portfolio.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Validus Growth Investors, LLC for their services and products based on a percentage of assets under management. 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 Validus Growth Investors serves?

The firm provides services to individuals, other investment advisers, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Validus Growth Investors is other investment advisers with 1 clients and $44.05 million of assets under management. Among the 0 most similar advisory firms, Validus Growth Investors has the 0th lowest percentage of other investment advisers out of all clients.

The amount of regulatory assets under management is $57.66 million for 20 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.

Validus Growth Investors doesn't advise any private funds.

Careers at Validus Growth Investors, LLC

The company employs 8 people that are either part- or full-time employees. 88 percent of the employees work as investment advisers or researchers. 6 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.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Mark Christopher Scalzo Managing partner, chief investment officer, member, series a & series c units 1 Nov 2012 Other 2365455
Veronique Lemaire Sanchez Scalzo Chief compliance officer, general counsel, member, series a units 1 Nov 2012 Other 6213262
Triley Ventures Llc Member, series a units 1 Sep 2013 Other 75-3059868
Grail Llc Member, series a units 1 Sep 2013 Other 52-2092782
Mark Christopher Scalzo Managing partner, chief investment officer 1 Nov 2013 75% - 100% 2365455
Llc Rjl Holding Company Member, series a units 1 Jun 2014 Other 27-1729008
Llc Lucia Capital Group Member, series a units 1 Jun 2014 Other 27-1729008
Raymond Joseph Lucia Member, series c units 1 Jul 2014 50% - 75% 4504365
Joseph Paul Lucia Member, series c units 1 Jul 2014 Other 4945945
Grail Llc Member, series a units 1 Sep 2015 Other 52-2092782
Theresa Jean Ochs Cco 1 Aug 2016 Other 4064049
Mitchell Steven Avnet Chief compliance officer 1 Mar 2018 Other 2267190

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Donald Harding Putnam Managing member 1 Sep 1996 75% - 100% 1065385
John Bernard Jones Member 1 Apr 2002 50% - 75% 1487030
Glennis Jones Member 1 Apr 2002 50% - 75% 6268445
Raymond Joseph Lucia Ceo 1 Mar 2010 75% - 100% 4504365
Joseph Paul Lucia Member 1 Aug 2011 25% - 50% 4945945

Based in San Diego

The principal office where Validus Growth Investors, LLC performs its advisory services is located at 13520 Evening Creek Dr. N., San Diego, CA 92128, 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 530-582-7000 or by fax 530-582-7001. The normal business hours are 8:30 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at validusgrowth.com.