ALPhasimplex Group, LLC (Cambridge)

Name: ALPhasimplex Group, LLC
Address: 255 Main Street, Cambridge, MA, 02142
Telephone: 617-475-7100

ALPhasimplex Group, LLC is a large advisory firm based in Cambridge. It manages $4.57 billion of regulatory assets for 17 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdiction of Massachusetts.

ALPhasimplex Group provides portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and model portfolios. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

ALPhasimplex Group: assets under management

The assets under management (AUM) of ALPhasimplex Group, LLC is $4.57 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 2584% since the beginning of its operation, and $482.52 million of the total AUM is attributable to clients outside of the United States.

The firm manages $4.57 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $268.72 million each.

Investments

The firm invests in government bonds the most. They account for 56% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 40% of the firm’s portfolio. Investments in derivatives form 4% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay ALPhasimplex Group, LLC for their services and products based on a percentage of assets under management and 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 John Thomas Hailer serves?

The firm provides services to investment companies, pooled investment vehicles, and corporations or other businesses. The largest group of clients of John Thomas Hailer is investment companies with 7 clients and $3.67 billion of assets under management. Among the 5 most similar advisory firms, ALPhasimplex Group has the 2nd highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $4.37 billion for 16 clients. 24% of the firm’s clients are foreign persons or businesses.

ALPhasimplex Group also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $5,000,000 for each fund.

Careers at ALPhasimplex Group, LLC

The company employs 48 people that are either part- or full-time employees. 46 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 2 people 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.

John Thomas Hailer has been acting as President since 1 Mar 2014. Jennifer Chamberlain Gooch joined the executive team most recently as the Director, Chief Financial Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Andrew Wen Chuan Lo	Managing member	1 Nov 1999	75% - 100%	2836056
Christopher Jon Jakob	Head of trading	1 Mar 2000	Other	2269113
Arnout Michiel Eikeboom	Chief risk officer	1 Jun 2000	Other	4297832
Tung Chan	Chief technology officer	1 Mar 2001	Other	4443115
L.P. Deer Island	Member	1 Dec 2001	Other	04-3482906
Paul Joseph Timmins	Director of finance and accounting	1 Aug 2003	Other	4703676
Paul Joseph Timmins	Chief compliance officer	1 Oct 2004	Other	4703676
Peter James Bernard	Chief operating officer	1 Feb 2005	Other	1502380
Arnout Michiel Eikeboom	Director, chief compliance officer	1 Mar 2005	Other	4297832
Peter James Bernard	Chief operating and financial officer	1 Jun 2005	Other	1502380
Brent Ryan Mathus	Head of trading	1 Oct 2005	Other	3077454
Kendall Anthony Walker	Director, chief financial officer	1 Jan 2006	Other	5112708
Andrew Wen Chuan Lo	Director, chief investment strategist	1 Oct 2007	Other	2836056
Duncan Borger Ellerton Wilkinson	Director, chief executive officer	1 Oct 2007	Other	4693961
Llc Alternative Strategies Group	Member	1 Oct 2007	75% - 100%	26-1353794
Jeremiah Harrison Chafkin	Director, president	1 Oct 2007	Other	4029494
Pierre Servant	Director	1 Oct 2007	Other	4409627
John Thomas Hailer	Director	1 Mar 2014	Other	1635883
David Lawrence Giunta	Director	1 Mar 2014	Other	2290469
Alexander Daniel Joseph Healy	Director	1 Mar 2014	Other	6310511
Xiru Zhang	Director	1 Mar 2014	Other	2641536
Eric Norman Ward	Director	1 Mar 2014	Other	6136334
David Michael Modest	Director	1 Dec 2016	Other	4088226
Beverly Mills Bearden	Director	1 May 2017	Other	4473184
Jennifer Chamberlain Gooch	Director, chief financial officer	1 May 2019	Other	7129657

Indirect Owners

The SEC currently registers 26 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
L.P. Natixis Global Asset Management	Member	1 Aug 1994	75% - 100%	04-3398261
Llc Natixis Global Asset Management Holdings	Shareholder	1 Aug 1994	75% - 100%	04-3561632
L.P. Natixis Investment Managers	Member	1 Aug 1994	75% - 100%	04-3398261
Llc Natixis Investment Managers Holdings	Shareholder	1 Aug 1994	75% - 100%	04-3561632
Llc Stonington Ventures	General partner	1 Jul 1999	Other	04-3482910
Kathleen Brogan Spring	Limited partner	1 Jul 1999	25% - 50%	4938442
Jonathan Bernard Spring	Limited partner	1 Jul 1999	25% - 50%	2700532
Inc. Natixis U.S. Holdings	Limited partner	1 Oct 2000	75% - 100%	13-4146043
Llc Natixis Global Asset Management	General partner	1 Oct 2000	Other	13-4146162
Llc Natixis Investment Managers	General partner	1 Oct 2000	Other	13-4146162
Natixis Global Asset Management Corporation	Limited partner	1 Oct 2000	75% - 100%	13-4146043
Natixis Global Asset Management	Shareholder	1 Aug 2004	75% - 100%	foreign entity
Natixis Investment Managers	Shareholder	1 Aug 2004	75% - 100%	foreign entity
Natixis Global Asset Management Participations 1	Shareholder	1 Jun 2005	75% - 100%	foreign entity
Natixis Investment Managers Participations 1	Shareholder	1 Jun 2005	75% - 100%	foreign entity
Natixis Global Asset Management	Shareholder (series a preferred stock)	1 Sep 2006	75% - 100%	foreign entity
Natixis Global Asset Management Participations 1	Shareholder (series a preferred stock)	1 Sep 2006	75% - 100%	foreign entity
Caisse Nationale Des Caisses D'epargne (Cnce)	Shareholder	1 Nov 2006	25% - 50%	foreign entity
Banque Federale Des Banques Populaires	Shareholder	1 Nov 2006	25% - 50%	foreign entity
Natixis	Shareholder	1 Nov 2006	75% - 100%	foreign entity
Nxbp 1	Shareholder	1 Jun 2007	75% - 100%	foreign entity
Natixis Participations 1	Shareholder	1 Jun 2007	75% - 100%	foreign entity
Inc. Natixis Asg Holdings	Member	1 Aug 2007	75% - 100%	74-2256851
Inc. Natixis Global Associates	Member	1 Aug 2007	75% - 100%	74-2256851
Bpce	Shareholder	1 Jul 2009	50% - 75%	foreign entity
Natixis	Shareholder	1 Sep 2011	75% - 100%	foreign entity

Based in Cambridge

The principal office where ALPhasimplex Group, LLC performs its advisory services is located at 255 Main Street, Cambridge, MA 02142, 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 617-475-7100 or by fax 617-588-1925. The normal business hours are 9:00 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at alphasimplex.com.