Spm Products, L.L.C. (Stamford)

Spm Products, L.L.C. is a large advisory firm based in Stamford. It manages $738.55 million of regulatory assets for 10 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdiction of Connecticut.

Spm Products, L.L.C 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.

Spm Products, L.L.C: assets under management

The assets under management (AUM) of Spm Products, L.L.C. is $738.55 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 1052% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $738.55 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $73.85 million each.

Spm Products, L.L.C has custody of $738.55 million in cash and securities for 10 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Spm Products, L.L.C. for their services and products based on a percentage of assets under management and performance-based fees. 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.

Careers at Spm Products, L.L.C.

Kenneth Cron has been acting as President since 1 Apr 2007. Nicholas Pierre Vassalli joined the executive team most recently as the Managing Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Kenneth William Brower	Senior vice president	1 Jan 2006	Other	2682309
Donald Ian Brownstein	Chief executive officer/managing director	1 Apr 2006	Other	4364423
Christopher Gerard Russell	Chief operating officer/managing director, chief compliance officer	1 Apr 2006	Other	4364432
Timothy John Yves Roberts	Managing director	1 Apr 2006	Other	2307754
Jenelle Renee Scanlon	Compliance officer/vice president	1 Apr 2006	Other	4761996
Yong Liu	Managing director	1 Apr 2006	Other	4364438
Jeffrey Kong	Managing director	1 Apr 2006	Other	1653091
William Leong Mok	Managing director	1 Apr 2006	Other	1904217
L.L.C Structured Portfolio Management	Owner/member/manager	1 Apr 2006	75% - 100%	108756
Kenneth William Brower	Senior vice president	1 Apr 2006	Other	2682309
John Vincent Contino	Managing director	1 Apr 2006	Other	1336079
Llc Nsp	Owner, class b	1 Apr 2006	75% - 100%	51-0666918
Llc Structured Affiliates	Owner, class b interest	1 Apr 2006	75% - 100%	51-0666918
Kenneth Cron	Senior managing director	1 Mar 2007	Other	5316858
Kenneth Cron	President	1 Apr 2007	Other	5316858
Ward James Mcgraw	Chief financial officer	1 Jul 2008	Other	2039132
Nicholas Pierre Vassalli	Managing director	1 Mar 2011	Other	5444049
Timothy John Yves Roberts	Managing director	1 Mar 2011	Other	2307754

Indirect Owners

The SEC currently registers 18 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Ronald Warren Sellers	Owner	1 Jun 1996	25% - 50%	1474762
Donald Ian Brownstein	Managing member	1 Oct 1996	25% - 50%	4364423
Upper Shad Associates Llc	Member manager	1 Mar 1997	50% - 75%	13-392147
Atlantic Asset Management Llc	Owner/member/manager	1 Jan 2000	25% - 50%	22-3484717
Lovell Minnick Equity Partners Lp	Owner	1 Jun 2003	25% - 50%	95-4802256
Lovell Minnick Equity Advisors Llc	General partner	1 Jun 2003	Other	95-4802253
Ageon Usa Inc.	Shareholder	1 Jun 2003	75% - 100%	00-0000000
Aegon N.V.	Shareholder	1 Jun 2003	75% - 100%	00-0000000
Pf Life Insurance Company	Limited partner	1 Jun 2003	25% - 50%	39-0989781
Lovell Minnick Partners Llc	Sole managing member	1 Feb 2004	Other	20-0493456
Lovell Minnick Holdings Llc	Sole managing member	1 Feb 2004	Other	20-0498914
Jeffrey Dale Lovell	Co-managing member	1 Feb 2004	50% - 75%	1095362
James Edward Minnick	Co-managing member	1 Feb 2004	25% - 50%	716204
Jennings Jay Newcom	Co-managing member	1 Feb 2004	25% - 50%	4358060
Bowman Partners Lp	Limited partner	1 Nov 2004	25% - 50%	00-0000000
Bowman Partners Gp	General partner	1 Nov 2004	Other	00-0000000
Frank Russell Company	Shareholder	1 Nov 2004	75% - 100%	91-1175091
L.L.C. Structured Partners	Owner	1 Dec 2007	25% - 50%	20-3275532

Based in Stamford

The principal office where Spm Products, L.L.C. performs its advisory services is located at Clearwater House, 2187 Atlantic Street, Stamford, CT 06902, 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 203-351-2870 or by fax 203-351-2879. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday.