3 D Asset Management, Inc. (Hartford)

Name: 3 D Asset Management, Inc.
Address: 100 Constitution Plaza, Hartford, CT, 06103
Telephone: 860-291-1998

3 D Asset Management, Inc. is a large advisory firm based in Hartford. It manages $532.87 million of regulatory assets for 1,509 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of Arizona, California, Connecticut, and 21 other states.

3 D Asset Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, and sub-advisor and model provider/strategist to collective trusts. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

3 D Asset Management: assets under management

The assets under management (AUM) of 3 D Asset Management, Inc. is $532.87 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 17603% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $532.87 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $353.13 thousand each.

3 D Asset Management has custody of $97.99 million in cash and securities for 318 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 75% of the total AUM. The second-largest asset type is investment and business development companies, which make up 23% of the firm’s portfolio. Investments in cash and cash equivalents form 2% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay 3 D Asset 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 Wayne (Nmn) Connors serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Wayne (Nmn) Connors is individuals with 886 clients and $227.75 million of assets under management. Among the 7 most similar advisory firms, 3 D Asset Management has the 3rd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $532.87 million for 992 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.

3 D Asset Management doesn't advise any private funds.

Careers at 3 D Asset Management, Inc.

The company employs 16 people that are either part- or full-time employees. 63 percent of the employees work as investment advisers or researchers. 9 employees are registered as investment adviser representatives with the state securities authorities.

There are 21 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.

Wayne (Nmn) Connors has been acting as President since 1 May 2013. Andrew Thomas Lucich joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
John Arthur O'connor	President/chief compliance officer	1 Nov 2005	25% - 50%	1070038
Wayne Connors	Exec. v.p./secretary	1 Nov 2005	50% - 75%	2085893
John Arthur Oconnor	President/cco	1 Nov 2005	50% - 75%	1070038
Wayne (Nmn) Connors	Exec. v.p./secretary	1 Nov 2005	25% - 50%	2085893
Sheryl Mary O'connor	Chief operating officer, secretary	1 Mar 2006	25% - 50%	6143999
Christopher Michael Frankenhoff	Shareholder	1 Apr 2007	Other	600658
Wayne (Nmn) Connors	Shareholder/director	1 May 2013	25% - 50%	2085893
Wayne Nmn Connors	Principal	1 May 2013	25% - 50%	2085893
Raymond Harold Noeker	Chief financial officer	1 Oct 2015	Other	6631326
Stephen Lawrence Mccoy	Chief executive officer	1 Oct 2015	Other	1646914
Andrew Thomas Lucich	Chief compliance officer	1 Apr 2016	Other	2227654
Andrew Lucich	Chief compliance officer	1 Apr 2016	Other	2227654

Based in Hartford

The principal office where 3 D Asset Management, Inc. performs its advisory services is located at 100 Constitution Plaza, Hartford, CT 06103, which is also the mailing address of the firm. An additional office of the firm is in Cranbury, NJ. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 860-291-1998 or by fax 860-291-9818. The normal business hours are 9:00am to 5:00pm on Monday - Friday. You can find more information about the New York firm at managedetfplan.com/.