M.D. Sass Financial Strategies Management Company, L.L.C. (New York)


M.D. Sass Financial Strategies Management Company, L.L.C. is a large advisory firm based in New York. It manages $116.68 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdictions of Florida and New York.

M.D. Sass Financial Strategies Management Company, L.L.C provides market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

M.D. Sass Financial Strategies Management Company, L.L.C: assets under management

The assets under management (AUM) of M.D. Sass Financial Strategies Management Company, L.L.C. is $116.68 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 143% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $116.68 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $116.68 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay M.D. Sass Financial Strategies Management Company, L.L.C. for their services and products based on a percentage of assets under management and performance-based fees. 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.

Careers at M.D. Sass Financial Strategies Management Company, L.L.C.

Martin Douglas Sass has been acting as President since 1 Apr 2002. Bobby Liu joined the executive team most recently as the General Counsel, Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
M.D. Sass Financial Holdings Llc Direct owner 1 Apr 2002 75% - 100% 20-0078345
Martin Douglas Sass Chairman/chief executive officer 1 Apr 2002 Other 411144
Hugh Roy Lamle President 1 Apr 2002 Other 301153
Steven Alan Shenfeld Senior managing director 1 Apr 2002 Other 1176990
Philip Matthew Sivin Vice president/general counsel/secretary 1 Apr 2002 Other 4362220
Llc Weathervane Capital Partners Direct owner 1 Apr 2002 25% - 50% 26-0003963
Llc M.D. Sass Financial Holdings Direct owner 1 Apr 2002 75% - 100% 20-0078345
Jeffrey William Wilkie Chief financial officer 1 Oct 2002 Other 4348262
Susan Garrison Hickey Chief compliance officer 1 Jan 2004 Other 1285201
Jeffrey William Wilkie Senior chief financial officer 1 Feb 2004 Other 4348262
Philip Matthew Sivin Senior vice president/general counsel/secretary 1 Apr 2004 Other 4362220
Robert W Francess Vice president, chief financial officer 1 Apr 2005 Other 4083944
Robert William Francess Chief financial officer 1 Apr 2005 Other 4083944
Philip Matthew Sivin Senior vice president/secretary 1 Jul 2005 Other 4362220
Bobby Liu General counsel 1 Jul 2005 Other 4771903
Bobby Liu General counsel, chief compliance officer 1 Aug 2006 Other 4771903
Inc. Macquarie Holdings (Usa) Member 1 Aug 2006 25% - 50% 13-3789912
Oliver Tennant Yates Director 1 Aug 2006 Other 3013840
Peter Bruce Lucas Director 1 Aug 2006 Other 5212864
Frederick Peter Forni Director 1 Aug 2006 Other 4289760

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Inc. M.D. Sass Investors Services Managing member 1 Apr 2002 Other 110590

Based in New York

The principal office where M.D. Sass Financial Strategies Management Company, L.L.C. performs its advisory services is located at 1185 Avenue Of The Americas, New York, NY 10036, 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 212-730-2000 or by fax 212-843-5949. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at www.mdsass.com.