Applegate & Collatos, Inc (Boston)


Applegate & Collatos, Inc is a large advisory firm based in Boston. It manages $2.58 billion of regulatory assets for 8 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of Massachusetts.

Applegate & Collatos provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Applegate & Collatos: assets under management

The assets under management (AUM) of Applegate & Collatos, Inc is $2.58 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 29% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $2.58 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $323.12 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Applegate & Collatos, Inc 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.

Careers at Applegate & Collatos, Inc

Christopher Thomas Mitchell has been acting as President since 1 Nov 2014. Brion Blackwell Applegate joined the executive team most recently as the Vice President.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Brion Blackwell Applegate President 1 May 1993 25% - 50% 6021929
William Peter Collatos Chairman & ceo 1 May 1993 25% - 50% 4347549
Randy Joe Henderson Treasurer & secretary 1 Jan 1998 Other 1988499
Kevin Jacques Maroni Vice president 1 Jan 1998 Other 6025737
Victor Elfendahl Parker Vice president 1 Jan 2002 Other 6021930
Michael John Kennealy Vice president - investor relations 1 Jun 2002 Other 6026969
Benjamin Carl Spero Vice president 1 Jun 2010 Other 6026970
James John Quagliaroli Vice president 1 Jun 2010 Other 6026971
Christopher Thomas Mitchell Vice president 1 Jun 2011 Other 2397594
Carolina Alvarez Picazo Chief compliance officer 1 Feb 2012 Other 6021931
L.P. Spectrum Equity Management Owner 1 Jun 2014 75% - 100% 35-2506451
Brion Blackwell Applegate Vice president 1 Nov 2014 Other 6021929
William Peter Collatos Managing director 1 Nov 2014 Other 4347549
Randy Joe Henderson Treasurer, chief financial officer & assistant secretary 1 Nov 2014 Other 1988499
Victor Elfendahl Parker Vice president 1 Nov 2014 Other 6021930
Christopher Thomas Mitchell President 1 Nov 2014 Other 2397594
Carolina Alvarez Picazo Chief compliance officer & corporate secretary 1 Nov 2014 Other 6021931
Benjamin Carl Spero Vice president 1 Nov 2014 Other 6026970

Indirect Owners

The SEC currently registers 4 indirect owners.

Name Entity Date acquired Ownership Employer ID
Llc Spectrum Managment Gp General partner 1 Jun 2014 Other 46-5549934
Christopher Thomas Mitchell Limited partner 1 Jun 2014 25% - 50% 2397594
Victor Elfendahl Parker Limited partner 1 Jun 2014 25% - 50% 6021930
Benjamin Carl Spero Limited partner 1 Jun 2014 25% - 50% 6026970

Based in Boston

The principal office where Applegate & Collatos, Inc performs its advisory services is located at One International Place, 35 Th Floor, Boston, MA 02110, which is also the mailing address of the firm. An additional office of the firm is in San Francisco, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 617-464-4600 or by fax 617-464-4601. The normal business hours are 8:30 am to 5:30 pm on Monday - Friday. You can find more information about the New York firm at spectrumequity.com.