Eqis Capital Management Inc. (San Rafael)

Name: Eqis Capital Management Inc.
Address: 1000 4 Th St., Ste 650, San Rafael, CA, 94901
Telephone: 800-949-9936

Eqis Capital Management Inc. is a large advisory firm based in San Rafael. It manages $1.84 billion of regulatory assets for 18,873 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Eqis Capital Management provides portfolio management for individuals and small businesses and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Eqis Capital Management: assets under management

The assets under management (AUM) of Eqis Capital Management Inc. is $1.84 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 166984% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.84 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $97.38 thousand each.

Investments

The firm invests in investment and business development companies the most. They account for 55% of the total AUM. The second-largest asset type is exchange traded securities, which make up 38% of the firm’s portfolio. Investments in cash and cash equivalents form 7% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Eqis Capital Management Inc. 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 Curtis Carnegie Brown serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Curtis Carnegie Brown is individuals with 18,176 clients and $1.61 billion of assets under management. Among the 10 most similar advisory firms, Eqis Capital Management has the 2nd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $1.79 billion for 18,489 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.

Eqis Capital Management doesn't advise any private funds.

Careers at Eqis Capital Management Inc.

The company employs 71 people that are either part- or full-time employees. 14 percent of the employees work as investment advisers or researchers. 22 employees are registered as investment adviser representatives with the state securities authorities.

There are 302 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 don’t receive compensation from other entities for client referrals.

Curtis Carnegie Brown has been acting as President since 1 Jan 2011. Jason Eric Luhan joined the executive team most recently as the Chief Compliance Officer / Amlco.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
William Robert Nelson	Principal	1 May 2006	75% - 100%	4797755
Jennifer Christine Winters	Chief compliance officer / amlco	1 Feb 2007	Other	2446588
Duane Menting	Chief financial officer / chief legal council	1 Mar 2008	Other	5510778
William Robert Nelson	Principal / chief investment officer	1 Jun 2008	Other	4797755
Inc. Eqis Holding	Corporation	1 Jun 2008	75% - 100%	90-0389525
Curtis Carnegie Brown	President	1 Jan 2011	Other	861881
Robert Alan Brown	Chief financial strategist	1 Jun 2012	Other	6082866
Scott Christopher Winters	Ceo	1 Feb 2014	25% - 50%	2598188
Jason Eric Luhan	Chief compliance officer / chief legal officer	1 May 2015	Other	5483636
Mark Thompson	Chief financial officer	1 Jun 2015	Other	6573802
Mark Granville Thompson	Chief financial officer	1 Jun 2015	Other	6573802
Anthony Marcus Orestano	Chief operating officer	1 Jul 2015	Other	3225166
Gary Nemer	General counsel	1 Oct 2015	Other	6575324
Gary Joel Nemer	General counsel	1 Oct 2015	Other	6575324
Joseph Francis Hunter	Chief operating officer	1 Mar 2017	Other	2312607
Joseph Francis Hunter	President and ceo	1 Nov 2017	Other	2312607
Susan Lawson Woodard	Chief compliance officer	1 Apr 2018	Other	4225106
Michael Richard Trott	Chief financial officer	1 Sep 2018	Other	7006936
Shieva Rajaee	Acting chief compliance officer	1 Aug 2019	Other	5801436
Jason Eric Luhan	Chief compliance officer / amlco	1 May 2620	Other	5483636

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Scott Christopher Winters	Shareholder	1 Jun 2008	25% - 50%	2598188

Based in San Rafael

The principal office where Eqis Capital Management Inc. performs its advisory services is located at 1000 4 Th St., Ste 650, San Rafael, CA 94901, 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 800-949-9936 or by fax 630-206-0757. The normal business hours are 8:30 to 4:30 on Monday - Friday. You can find more information about the New York firm at eqis.com and its LinkedIn profile.