Ziegler Capital Management, LLC (Chicago)


Ziegler Capital Management, LLC is a large advisory firm based in Chicago. It manages $10.09 billion of regulatory assets for 2,420 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 47 other states.

Ziegler Capital Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, pension consulting services, 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.

Ziegler Capital Management: assets under management

The assets under management (AUM) of Ziegler Capital Management, LLC is $10.09 billion. The firm's AUM has grown by 225% since the beginning of its operation, and $211.57 million of the total AUM is attributable to clients outside of the United States.

The firm manages $10.07 billion in discretionary accounts and $10.52 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $4.17 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $5.26 million.
Ziegler Capital Management has custody of $18.25 million in cash and securities for 1 client in total and its related person acts as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 36% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 20% of the firm’s portfolio. Investments in sovereign bonds form 15% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ziegler Capital Management, 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 Joseph Mulherin serves?

The firm provides services to individuals, insurance companies, investment companies, charitable organizations, other investment advisers, high net worth individuals, pooled investment vehicles, banking or thrift institutions, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of John Joseph Mulherin is corporations or other businesses with 484 clients and $4.26 billion of assets under management. Among the 9 most similar advisory firms, Ziegler Capital Management has the highest percentage of corporations or other businesses out of all clients.

The amount of regulatory assets under management is $10.04 billion for 2,412 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.

Ziegler Capital Management also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at Ziegler Capital Management, LLC

The company employs 81 people that are either part- or full-time employees. 49 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 3 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.

Ziegler Capital Management, LLC is owned by Joseph Nir Pappo. John Joseph Mulherin has been acting as President since 1 May 2005. Paula Marie Horn has served as the Chief Investment Officer since 1 May 2010. Monika Kumari Singh joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Craig Stephen Vanucci Senior vice president, senior portfolio manager 1 May 2005 Other 2220769
Donald James Nesbitt Vice president, portfolio manager 1 May 2005 Other 4530193
Richard Duncan Scargill Vice president, portfolio manager 1 May 2005 Other 2073325
Derek Joseph Pawlak Vice president, portfolio manager & credit analyst 1 May 2005 Other 2349696
Wendy Wilson Stojadinovic Assistant vice president, portfolio manager 1 May 2005 Other 2002438
Mikhail Alkhazov Assistant vice president, portfolio manager 1 May 2005 Other 4141116
Kathryn Marie Sahli Vice president, institutional sales 1 May 2005 Other 2831452
Jolie Kay Keller Assistant vice president, equity trader 1 May 2005 Other 1608493
James Richard Wyatt Senior vice president, institutional sales 1 May 2005 Other 473600
Lori Tena Richardson Senior vice president, institutional sales 1 May 2005 Other 1749038
David Grove Stoeffel President & director 1 May 2005 Other 1247755
Brian Keith Andrew Senior managing director and chief investment officer 1 May 2005 Other 2240211
Franklin Philip Ciano Senior vice president, chief financial officer 1 May 2005 Other 2122268
Stephen Charles Omeara Secretary & director 1 May 2005 Other 2324240
Jeffrey Carl Vredenbregt Treasurer & director 1 May 2005 Other 1689695
Elizabeth Anne Watkins Chief compliance officer 1 May 2005 Other 2272542
Sarah Elizabeth Schott Assistant secretary 1 May 2005 Other 4671491
John Joseph Mulherin Director 1 May 2005 Other 2677528
Thomas Robert Paprocki Director 1 May 2005 Other 1448888
Gary Philip Engle Director 1 May 2005 Other 1009773
Inc. The Ziegler Companies Parent company 1 May 2005 75% - 100% 39-1448883
Linda Ann Ramey Matza Senior vice president, product manager 1 May 2005 Other 2016551
Michael Dennis Andelbradt Senior vice president, portfolio manager 1 Aug 2005 Other 4345328
Mark Bennett Burka Senior vice president, portfolio manager 1 Aug 2005 Other 1736769
James D Dodge Senior vice president 1 Aug 2005 Other 4345335
Brian J Hoogland Senior vice president 1 Aug 2005 Other 4345359
Richard G. Knoor Senior vice president 1 Aug 2005 Other 4625087
Bradley E Laffrey Senior vice president, portfolio manager 1 Aug 2005 Other 4345341
Glen Clarence Matz Vice president 1 Aug 2005 Other 1420400
Thomas F Meagher Institutional sales associate 1 Aug 2005 Other 5033861
James Francis Sullivan Managing director 1 Aug 2005 Other 4336271
James Floyd Devereaux Vice president 1 Aug 2005 Other 2754597
Glen Clarence Matz Senior vice president 1 May 2006 Other 1420400
Elizabeth Anne Watkins Managing director & chief compliance officer 1 Jul 2006 Other 2272542
Sarah Elizabeth Schott Corporate secretary & director 1 Jul 2006 Other 4671491
Donald James Nesbitt Managing director and chief investment officer 1 Aug 2006 Other 4530193
Brian Keith Andrew President & director 1 Aug 2006 Other 2240211
Craig Stephen Vanucci Director (not board related) 1 Mar 2007 Other 2220769
Wendy Wilson Stojadinovic Vice president, portfolio manager 1 Mar 2007 Other 2002438
Mikhail Alkhazov Vice president, portfolio manager 1 Mar 2007 Other 4141116
Nicholas Charles Bauer Assistant vice president 1 Mar 2007 Other 3099440
Vinta Kaur Paul Vice president, interim general counsel and secretary 1 Jul 2007 Other 5227040
Benjamin Harrison Deberry Vice president, general counsel and secretary 1 Sep 2007 Other 5419278
Angelique Athiena David Senior vice president / assistant general counsel 1 Oct 2007 Other 5445800
Raheela Gill Anwar Managing director 1 Nov 2007 Other 4594845
Scott Allen Roberts Senior managing director / head of asset management 1 Jan 2009 Other 2706025
Charles Henry Self Senior vice president institutional sales portfolio strategist/fixed income investments 1 Feb 2009 Other 5527810
Paula Marie Horn Chief investment officer / fixed income investments 1 Feb 2009 Other 2718002
Scott Allen Roberts President and chief executive officer 1 May 2010 Other 2706025
Paula Marie Horn Chief investment officer 1 May 2010 Other 2718002
Craig Stephen Vanucci Managing director, director of client services 1 May 2010 Other 2220769
Donald James Nesbitt Managing director, chief investment officer equity 1 May 2010 Other 4530193
Elizabeth Anne Watkins Chief compliance officer 1 May 2010 Other 2272542
Inc. The Ziegler Companies Owner 1 May 2010 25% - 50% 39-1448883
Llc Rtz Acquisition Owner 1 May 2010 25% - 50% 27-2311371
John Angelo Giampetroni Member - board of managers 1 May 2010 Other 1941730
Suhail Rizvi Member - board of managers 1 May 2010 Other 5785567
Victoria Ann Nonhof Chief financial officer 1 May 2010 Other 1121655
Kathleen Ann Nelson Colbert Managing director, general counsel and institutional sales 1 May 2010 Other 1612165
Linda Ann Ramey Matza Managing director, director of sales 1 May 2010 Other 2016551
Thomas Robert Paprocki Member - board of managers 1 May 2010 Other 1448888
Wayne Alan Gilpin Member - board of managers 1 May 2010 Other 1329099
Kathleen Ann Nelson Managing director, general counsel and institutional sales 1 May 2010 Other 1612165
Craig Laird Schedler Member - board of managers 1 Sep 2010 Other 4488986
Allison J. Brink Director of marketing 1 Jun 2011 Other 5436328
Margaret Baer Chief administrative officer and operating officer 1 Jun 2011 Other 5121824
Donald Wayne Reid Managing director, co-chief investment officer equities 1 Jun 2011 Other 2703050
Zlcm Partners Llc Owner 1 Jun 2011 Other 45-2431904
Joseph Nir Pappo Owner 1 Jun 2011 Other 2331076
Matthew Spencer Maclean Managing director, chief compliance officer and general counsel 1 Jan 2012 Other 5115583
Joel Dennis Vrabel Managing director, chief investment officer - growth equity 1 Jan 2012 Other 2162875
Stifel Financial Corporation Shareholder 1 Dec 2013 75% - 100% 43-1274600
Elizabeth Anne Watkins Chief compliance officer 1 Apr 2014 Other 2272542
Michael Chih Hao Chien Chief legal officer 1 Jan 2015 Other 5320859
Renee Marie Ansbro Chief financial officer 1 May 2016 Other 2268316
Cynthia Perez Chief operating officer 1 Sep 2016 Other 1769327
John Kane Brinckerhoff Senior managing director, sales 1 Sep 2016 Other 1199643
Monika Kumari Singh Chief compliance officer 1 Sep 2019 Other 5018272

Indirect Owners

The SEC currently registers 3 indirect owners.

Name Entity Date acquired Ownership Employer ID
Peter Rittenhouse Kellogg Shareholder - common stock 1 Dec 2006 25% - 50% 266855
Llc Rtz Acquistitions Holding Owner 1 May 2010 75% - 100% 27-2366600
Scott Allen Roberts Owner 1 Jun 2011 75% - 100% 2706025

Based in Chicago

The principal office where Ziegler Capital Management, LLC performs its advisory services is located at 70 West Madison Street, Chicago, IL 60602, which is also the mailing address of the firm. An additional office of the firm is in St. Louis, MO. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 312-368-1442 or by fax 312-750-1131. The normal business hours are 8:00 a.m - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at zieglercap.com.