Thomson Horstmann & Bryant Inc (Norwalk)

Name: Thomson Horstmann & Bryant Inc
Address: 501 Merritt 7, Norwalk, CT, 06851
Telephone: 203-653-7060

Thomson Horstmann & Bryant Inc is a large advisory firm based in Norwalk. It manages $730.29 million of regulatory assets for 60 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Connecticut and Delaware.

Thomson Horstmann & Bryant provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Thomson Horstmann & Bryant: assets under management

The assets under management (AUM) of Thomson Horstmann & Bryant Inc is $730.29 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -71% since the beginning of its operation, and $275 million of the total AUM is attributable to clients outside of the United States.

The firm manages $730.29 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $12.17 million each.

Thomson Horstmann & Bryant has custody of $41.02 million in cash and securities for 2 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 99% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 1% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Thomson Horstmann & Bryant 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.

What kind of clients Dennis Patrick Chandler serves?

The firm provides services to investment companies, other investment advisers, high net worth individuals, pooled investment vehicles, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Dennis Patrick Chandler is pooled investment vehicles with 6 clients and $322.11 million of assets under management. Among the 7 most similar advisory firms, Thomson Horstmann & Bryant has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $716.75 million for 59 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 35% of the firm’s clients are foreign persons or businesses.

Thomson Horstmann & Bryant also advises several private funds. Namely, two hedge funds. The minimum investment commitment required of non-related persons is $500,000 for each fund.

Careers at Thomson Horstmann & Bryant Inc

The company employs 14 people that are either part- or full-time employees. 64 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There are 3 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.

Dennis Patrick Chandler has been acting as President since 1 Oct 2005. Keith Edward Dickinson joined the executive team most recently as the Vice President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
William Whitsel Bryant	Chairman, treasurer, director	1 Apr 1983	Other	2143451
Richard Alan Horstmann	Exec. v.p., secretary, director	1 Apr 1983	Other	2131977
Alexander James Thomson	President, director	1 Apr 1983	Other	1477300
United Asset Management Corporation	100% shareholder	1 Jun 1997	75% - 100%	04-2714625
Old Mutual (Us) Holdings Inc.	100% shareholder	1 Jun 1997	75% - 100%	04-2714625
Old Mutual Plc	100% shareholder	1 Sep 2000	75% - 100%	foreign
Old Mutual Life Assurance Co. (South Africa) Limited	8.71% shareholder of old mutual plc	1 Sep 2000	Other	foreign
Old Mutual Life Holdings (South Africa) Limited	100% shareholder of old mutual life assurance co (sa) limited	1 Sep 2000	75% - 100%	foreign
Old Mutual (South Africa) Ltd.	100% shareholder of old mutual life holdings (sa) limited	1 Sep 2000	75% - 100%	foreign
Old Mutual (Netherlands) B. V.	100% shareholder of old mutual (south africa) ltd.	1 Sep 2000	75% - 100%	foreign
Om Group (Uk) Limited	100% shareholder of old mutual (netherlands) bv	1 Sep 2000	75% - 100%	foreign
James Michael Kennedy	Vice president - compliance	1 Apr 2002	Other	2591349
James Michael Kennedy	Chief compliance officer	1 Oct 2004	Other	2591349
Chad Michael Nelson	Vice president, portfolio manager	1 Oct 2005	Other	3082009
Christopher Nicholas Cuesta	Vice president, portfolio manager	1 Oct 2005	Other	2738115
John Gordon Bennett	Vice president, client service	1 Oct 2005	Other	1990149
Glenn David Burrell	Vice president, chief marketing officer	1 Oct 2005	Other	1078809
Dennis Patrick Chandler	Director	1 Oct 2005	Other	4818296
Marc David Saurborn	Vice prsident, portfolio manager	1 Dec 2005	Other	2813288
William Bryant	Vice president, portfolio manager	1 Jan 2010	Other	3042924
Thomson Horstmann & Bryant Inc Ii.	100% shareholder	1 Aug 2010	75% - 100%	27-2620471
John Brereton Young	Vice president, marketing	1 Aug 2010	Other	1338064
Keith Edward Dickinson	Vice president	1 Jan 2015	Other	6462311
Manish Maheshwari	Vice president	1 Jan 2015	Other	5904328

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Om Group (Uk) Limited	A	1 Jan 2003	75% - 100%	foreign
Old Mutual Plc	A	1 Jan 2003	75% - 100%	foreign
Chad Michael Nelson	Shareholder	1 Aug 2010	25% - 50%	3082009
Christopher Nicholas Cuesta	Shareholder	1 Aug 2010	25% - 50%	2738115
Inc. Ii Thomson Horstmann & Bryant	Active	1 Aug 2010	75% - 100%	27-2620471
William Bryant	Shareholder	1 Aug 2010	25% - 50%	3042924

Based in Norwalk

The principal office where Thomson Horstmann & Bryant Inc performs its advisory services is located at 501 Merritt 7, Norwalk, CT 06851 The mailing address of the firm is 501 Merritt 7, Norwalk, CT 06851. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 203-653-7060 or by fax 203 840-9144. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at thbinc.com.