Dsi International Management, Inc. (Stamford)

Dsi International Management, Inc. is a large advisory firm based in Stamford. It manages $3.5 billion of regulatory assets for 17 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Dsi International Management provides portfolio management for pooled investment vehicles and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Dsi International Management: assets under management

The assets under management (AUM) of Dsi International Management, Inc. is $3.5 billion. The firm's AUM has gone down by -37% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.42 billion in discretionary accounts and $81.56 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $213.75 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $81.56 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Dsi International Management, Inc. for their services and products based on a percentage of assets under management, fixed fees, 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 Dsi International Management, Inc.

Brian Marshall Storms has been acting as President since 1 Dec 1999. George William Rooney joined the executive team most recently as the President, Ceo, Cio, Vice Chairman And Board Member.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Incorporated Decision Services	Owner	1 Jun 1987	75% - 100%	95-2859899
John Holmgren	President, ceo, cio, director	1 Jun 1987	Other	4378701
John James Holmgren	Evp, chief operating officer, asst. secretary, director	1 Dec 1999	Other	1330544
Michael Mario Holmgren	Managing director, director	1 Dec 1999	Other	4378702
Brian Marshall Storms	Director	1 Dec 1999	Other	712047
Julian Fernand Sluyters	Director	1 Dec 1999	Other	2209394
Robert Peter Wolfangel	Vp, chief financial officer	1 Dec 1999	Other	2965141
William Joseph Nolan	Treasurer	1 Dec 1999	Other	1190580
Geraldine L Banyai	Secretary	1 Dec 1999	Other	2369769
John J Holmgren Jr.	Managing director, executive vice president, chief operating officer, asst. secretary, director	1 Dec 1999	Other	1330544
John J Holmgren	President/chairman/ceo/cio	1 Dec 1999	Other	1330544
Amy Rose Doberman	Chief legal officer	1 Jul 2000	Other	4286792
Lawrence David Cutler	Chief compliance officer	1 Apr 2001	Other	4404656
Robert Peter Wolfangel	Executive director, treasurer, chief financial officer, director	1 Oct 2001	Other	2965141
Geraldine L Banyai	Assistant secretary	1 Oct 2001	Other	2369769
Amy Rose Doberman	Secretary, chief legal officer	1 Oct 2001	Other	4286792
Lawrence David Cutler	Assistant secretary, chief compliance officer	1 Oct 2001	Other	4404656
Joseph Michael Mcgill	Chief compliance officer	1 Sep 2003	Other	1496983
Charles Raymond Mathys	Chief compliance officer	1 Oct 2003	Other	2972488
Joseph Francis Scoby	General manager	1 Jan 2004	Other	2000764
Nicholas James Vagra	Chief operating officer	1 Jan 2004	Other	2692458
James Michael Hnilo	General counsel	1 Jan 2004	Other	4377601
Ubs Americas Inc.	Direct owner	1 Jan 2004	75% - 100%	06-1595848
David Kenneth Pritsker	Executive director, cfo	1 Apr 2004	Other	2604180
Mark Frederick Kemper	Secretary and chief legal officer	1 Jun 2004	Other	4347419
John Cyril Moore	Chief financial officer	1 Nov 2004	Other	2126829
James Anthony Hartmann	Chief compliance officer	1 Oct 2005	Other	2705002
Thomas Paul Madsen	Head of global equities	1 May 2006	Other	4341316
Mark Frederick Kemper	Secretary and chief legal officer	1 Sep 2006	Other	4347419
Joseph Michael Mcgill	Chief compliance officer	1 Sep 2006	Other	1496983
John Cyril Moore	Treasurer and chief financial officer	1 Sep 2006	Other	2126829
George William Rooney	President, ceo, cio, vice chairman and board member	1 Sep 2007	Other	4456157
Arthur J. Gresh	Vice president, chairman and board member	1 Sep 2007	Other	5433980

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Painewebber Asset Management Inc.	Owner	1 Dec 1999	75% - 100%	22-3690085
Ubs Painewebber Inc.	Owner	1 Dec 1999	75% - 100%	13-2638166
Inc. Brinson Advisors	Owner	1 Dec 1999	75% - 100%	22-3690085
Ubs Global Asset Management (Us) Inc.	Owner	1 Dec 1999	75% - 100%	22-3690085
Ubs Americas Inc.	Owner	1 Nov 2000	75% - 100%	06-1595848
Ubs Ag	Owner	1 Nov 2000	75% - 100%	98-0186363

Based in Stamford

The principal office where Dsi International Management, Inc. performs its advisory services is located at One Stamford Forum, Stamford, CT 06901, 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 (203) 719-6200 or by fax (203) 719-6075. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday.