Jolliffe Capital, Inc. (Dallas)

Name: Jolliffe Capital, Inc.
Address: 1900 Pacific Avenue, Dallas, TX, 75201
Telephone: 308-631-4513

Jolliffe Capital, Inc. is an adviser based in Dallas. It manages $57.79 million of regulatory assets for 374 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Colorado and Nebraska.

Jolliffe Capital provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, educational seminars and workshops, and consultation. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Jolliffe Capital: assets under management

The assets under management (AUM) of Jolliffe Capital, Inc. is $57.79 million. The firm's AUM has grown by 106% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $55.5 million in discretionary accounts and $2.29 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $149.59 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $763.61 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 50% of the total AUM. The second-largest asset type is non-exchange traded securities, which make up 35% of the firm’s portfolio. Investments in investment and business development companies form 9% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Jolliffe Capital, Inc. for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Jolliffe Capital serves?

The firm provides services to individuals and pension and profit sharing plans. The largest group of clients of Jolliffe Capital is individuals with 371 clients and $55.5 million of assets under management. Among the 4 most similar advisory firms, Jolliffe Capital has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $57.79 million for 374 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.

Jolliffe Capital doesn't advise any private funds.

Careers at Jolliffe Capital, Inc.

The company employs 1 person that is either a part- or full-time employee. 100 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
Patrick Stephenson Jolliffe	President, chief compliance officer	1 May 2006	75% - 100%	2531902
Louis Kleager	Director-owner	1 Dec 2007	Other	5504041
Carmen Kleager	Director-owner	1 Dec 2007	Other	5504049
Shawn Michael Mercer	Vice president	1 Aug 2013	25% - 50%	4470276

Based in Dallas

The principal office where Jolliffe Capital, Inc. performs its advisory services is located at 1900 Pacific Avenue, Dallas, TX 75201, 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 308-631-4513. The normal business hours are 9:00am-5:00pm on Monday - Friday. You can find more information about the New York firm at happynestegg.com.