K2 Advisors, L.L.C. (Stamford)


K2 Advisors, L.L.C. is a large advisory firm based in Stamford. It manages $142.4 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 jurisdiction of Connecticut.

K2 Advisors, L.L.C provides managing member, general partner to pooled investment vehicles and single investor funds. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

K2 Advisors, L.L.C: assets under management

The assets under management (AUM) of K2 Advisors, L.L.C. is $142.4 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -90% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $142.4 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $23.73 million each.
K2 Advisors, L.L.C has custody of $142.4 million in cash and securities for 6 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay K2 Advisors, L.L.C. for their services and products based on performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients David Charles Saunders serves?

The only and largest group of clients of David Charles Saunders is pooled investment vehicles with 6 clients and $142.4 million of assets under management. Among the 10 most similar advisory firms, K2 Advisors, L.L.C has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $142.4 million for 6 clients. None of the firm’s clients are foreign persons or businesses.

K2 Advisors, L.L.C also advises several private funds.

Careers at K2 Advisors, L.L.C.

David Charles Saunders has been acting as President since 1 May 1997. Madison Sterling Gulley joined the executive team most recently as the Executive Vice President Alternative Strategies.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
David Charles Saunders Director 1 May 1997 Other 1105753
William Angus Douglass Founding managing director 1 May 1997 25% - 50% 1158286
Stephanie Ann Christie Chief financial officer - managing director 1 May 1997 Other 1978665
Robert William Jones Chief operating officer - managing director 1 May 1997 Other 4514424
Wad Family Trust Member 1 Dec 2001 Other 13-7306865
Jonathan Mayhew Wainwright Trustee of the wad family trust 1 Dec 2001 Other 4523920
Lynn Douglass Trustee of the wad family trust 1 Dec 2001 Other 4938067
Elena Garcia De Madariaga General counsel-chief compliance officer - managing director 1 Jul 2002 Other 4608210
John Ferguson Chief compliance officer 1 Aug 2006 Other 4635144
Michael John Andersen General counsel; chief compliance officer 1 Apr 2007 Other 2040794
Roger B. Kafker Director 1 Apr 2007 Other 4426863
Llc K2 Advisors Subsidiary Holdings 100 % owner 1 Apr 2007 75% - 100% 20-8776216
Gary Paul Watson Chief financial officer 1 May 2007 Other 2519005
Michael Anthony Firgeleski Chief compliance officer 1 Jan 2008 Other 5476048
John Patrick Hornbostel General counsel 1 Jul 2010 Other 5831407
Bjorn Anthony Davis Chief compliance officer 1 Jan 2011 Other 4104631
Llc K2 Advisors Holdings 100% owner 1 May 2013 75% - 100% 20-8776078
Benjamin Charles Browning Chief operating officer 1 Apr 2018 Other 6946261
Madison Sterling Gulley Executive vice president - alternative strategies 1 Jan 2019 Other 1862155

Indirect Owners

The SEC currently registers 6 indirect owners.

Name Entity Date acquired Ownership Employer ID
David Charles Saunders Unit holder 1 Apr 2007 Other 1105753
Llc K2 Advisors Holdings 100% owner 1 Apr 2007 75% - 100% 20-8776078
William Angus Douglass Unit holder 1 Apr 2007 25% - 50% 1158286
Ta X Lp Warrant holder (upon exercise) 1 Apr 2007 25% - 50% 20-4529991
Inc. Franklin Resources Parent organization: 100% 1 Oct 2012 75% - 100% 13-2670991
Llc Franklin Templeton Institutional Majority owner 1 Nov 2012 50% - 75% 117384

Based in Stamford

The principal office where K2 Advisors, L.L.C. performs its advisory services is located at 300 Atlantic St., Stamford, CT 06901, 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 203-348-5252 or by fax 203-359-6369. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at franklintempleton.com.

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