Disciplined Capital Management LLC (Syracuse)

Name: Disciplined Capital Management LLC
Address: 220 South Warren Street, Syracuse, NY, 13202
Telephone: 315-476-8200

Disciplined Capital Management LLC is a large advisory firm based in Syracuse. It manages $418.94 million of regulatory assets for 92 client accounts. It has been registered with the SEC as an adviser since 2015 and has operated in the jurisdictions of Florida, New York, and Virginia.

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

Disciplined Capital Management: assets under management

The assets under management (AUM) of Disciplined Capital Management LLC is $418.94 million. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $328.8 million in discretionary accounts and $90.14 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.91 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $11.27 million.

Investments

The firm invests in investment and business development companies the most. They account for 62% of the total AUM. The second-largest asset type is government bonds, which make up 22% of the firm’s portfolio. Investments in exchange traded securities form 9% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Disciplined Capital Management 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 Disciplined Capital Management serves?

The firm provides services to individuals, insurance companies, charitable organizations, and high net worth individuals. The largest group of clients of Disciplined Capital Management is charitable organizations with 61 clients and $246.2 million of assets under management. Among the 10 most similar advisory firms, Disciplined Capital Management has the highest percentage of charitable organizations out of all clients.

The amount of regulatory assets under management is $350.52 million for 87 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.

Disciplined Capital Management doesn't advise any private funds.

Careers at Disciplined Capital Management LLC

The company employs 5 people that are either part- or full-time employees. 60 percent of the employees work as investment advisers or researchers. No 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
Llc Breakwall Asset Management	Managing member	1 Jul 2015	50% - 75%	154978
Inc. Rjr Associates	Managing member	1 Jul 2015	50% - 75%	22-3867775
Sharon Lee Craig	Chief compliance officer	1 Jul 2015	Other	6426304

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Adam Chris Gagas	Member	1 Dec 2009	75% - 100%	5841585
Robert John Ryan	Shareholder	1 Dec 2009	75% - 100%	4363043
Adam Gagas	Member	1 Dec 2009	75% - 100%	5841585

Based in Syracuse

The principal office where Disciplined Capital Management LLC performs its advisory services is located at 220 South Warren Street, Syracuse, NY 13202, 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 315-476-8200 or by fax 315-476-8208. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at disciplinedcapital.com.