Asset Allocation & Management Company, LLC (Chicago)

Name: Asset Allocation & Management Company, LLC
Address: 30 West Monroe Street, Chicago, IL, 60603 2405
Telephone: 312-263-2900

Asset Allocation & Management Company, LLC is a large advisory firm based in Chicago. It manages $24.7 billion of regulatory assets for 116 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Illinois and Minnesota.

Asset Allocation & Management Company provides 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.

Asset Allocation & Management Company: assets under management

The assets under management (AUM) of Asset Allocation & Management Company, LLC is $24.7 billion. The firm's AUM has grown by 148% since the beginning of its operation, and $3.5 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $23.11 billion in discretionary accounts and $1.59 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $202.74 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $795.21 million.

Investments

The firm invests in other assets the most. They account for 29% of the total AUM. The second-largest asset type is state and local bonds, which make up 10% of the firm’s portfolio. Investments in government bonds form 8% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Asset Allocation & Management Company, LLC 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.

What kind of clients Eric Byck Goodman serves?

The only and largest group of clients of Eric Byck Goodman is insurance companies with 116 clients and $24.7 billion of assets under management. Among the 11 most similar advisory firms, Asset Allocation & Management Company has the highest percentage of insurance companies out of all clients.

The amount of regulatory assets under management is $24.7 billion for 116 clients. 3% of the firm’s clients are foreign persons or businesses.

Asset Allocation & Management Company doesn't advise any private funds.

Careers at Asset Allocation & Management Company, LLC

The company employs 49 people that are either part- or full-time employees. 57 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 compensates employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Eric Byck Goodman has been acting as President since 1 Dec 2014. Reed J Nuttall has served as the Chief Investment Officer since 1 Oct 2004. Timothy J. Senechalle joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Andrew Michael Jarmel	Member	1 Mar 2001	Other	4356790
Barry George Hoyt	Member	1 Mar 2001	Other	4356803
Peter Spyridon Mavrogenes	Member	1 Mar 2001	Other	4356938
Mark William Shelstad	Member	1 Mar 2001	Other	4363128
Steven Wayne Guyer	Member	1 Mar 2001	Other	4356949
Harry Clay Johnston	Member	1 Mar 2001	Other	4356947
Harrison G. Starrett	Member	1 Mar 2001	Other	4363122
Kathy Roseanne Lange	Member	1 Mar 2001	Other	1359987
Patrick Armand Livney	Member	1 Mar 2001	Other	1547243
Ltd. Rbf Investment	Member	1 Mar 2001	Other	36-4058316
Inc. Guyco	Member	1 Mar 2001	Other	36-3809165
Inc. Emstead	Member	1 Mar 2001	Other	36-3498857
Inc. Klangco	Member	1 Mar 2001	Other	36-4182213
Inc. Ryco	Member	1 Mar 2001	Other	36-3842934
Inc. Zenco	Member	1 Mar 2001	Other	36-4273127
Inc. Mavco	Member	1 Mar 2001	Other	36-3355088
Hawkeye Investment Management Corp.	Member	1 Mar 2001	Other	36-4394304
Ltd. Gacyma	Member	1 Mar 2001	Other	36-3991791
Inc. Anbar	Member	1 Mar 2001	Other	36-3179425
Inc. Palco	Member	1 Mar 2001	Other	36-4423909
David Emerson Oddon	Member	1 Mar 2001	Other	4356942
Inc. Nodgo	Member	1 Mar 2001	Other	36-3544568
Cenco Investment Llc	Investment fund	1 Jun 2001	25% - 50%	04-3552488
Andrew Michael Jarmel	Director	1 Mar 2002	Other	4356790
John Larkin Schaefer	President, managing member	1 Apr 2002	Other	1867983
Randall Keach Zeller	Prsident & chief operating officer	1 Apr 2002	Other	829504
Scott F. Kauffman	Chief financial officer	1 Nov 2002	Other	4637543
Ccp Iii	Investment fund	1 Jun 2003	25% - 50%	04-3582957
Harry Clay Johnston	Consultant	1 Jun 2003	Other	4356947
Mark John Steiger	Chief compliance officer	1 May 2004	Other	4865174
Mark J. Steiger	Chief compliance officer	1 May 2004	Other	4865174
Darlene Hazel Richards	Chief financial officer	1 Jun 2004	Other	4924056
Darlene H. Richards	Chief financial officer	1 Jun 2004	Other	4924056
Reed J Nuttall	Chief investment officer	1 Oct 2004	Other	4142643
James Bernard Stradtner	Chairman of the board	1 Apr 2005	Other	437871
Davis R. Fulkerson	Director	1 Jun 2005	Other	4356145
Inc. Schaefco	Member	1 Dec 2007	Other	20-2163018
Reed J Co	Member	1 Dec 2007	Other	25-1910322
Mark William Shelstad	Director	1 Dec 2007	Other	4363128
L.P. Trident Iv	Investment fund	1 Dec 2007	50% - 75%	98-0509277
James Dawson Carey	Director	1 Dec 2007	Other	2656436
Nicolas Zerbib	Director	1 Dec 2007	Other	5473031
David Wermuth	Director	1 Dec 2007	Other	5473034
Nicolas David Zerbib	Director, member	1 Dec 2007	Other	5473031
David Jay Wermuth	Director, member	1 Dec 2007	Other	5473034
Kbw Capital Partners I	Investment fund	1 Dec 2007	Other	13-4354157
Inc. Trident Aam Holdings	Member	1 Dec 2007	50% - 75%	90-0481794
Inc. Bravco	Member	1 Jan 2010	Other	20-2146106
Inc. Bravo	Member	1 Jan 2010	Other	20-2146106
Fayez Sami Muhtadie	Director	1 May 2012	Other	4015917
John Francis Shettle	Director	1 May 2012	Other	6178221
Eric Byck Goodman	Director	1 Dec 2014	Other	4352804
Llc Securian Aam Holdings	Member	1 Dec 2014	50% - 75%	90-0481794
Christopher Roman Sebald	Director	1 Dec 2014	Other	4353430
Christopher Michael Hilger	Director	1 Dec 2014	Other	6439314
Joe Allen Borgmann	Chief financial officer	1 Mar 2017	Other	6770255
Joseph Allen Borgmann	Chief financial officer	1 Mar 2017	Other	6770255
Robert Gordon Diedrich	Director	1 Dec 2017	Other	6890277
Siddharth Subhash Gandhi	Director	1 Dec 2017	Other	5038765
Timothy J. Senechalle	Director	1 Apr 2018	Other	6997375

Indirect Owners

The SEC currently registers 17 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Securian Financial Group	Shareholder	1 Oct 1998	75% - 100%	41-1919752
L.P. Trident Capital Iv	General partner	1 Dec 2006	Other	98-0509278
Llc Cd Trident Iii	General partner	1 Dec 2006	Other	xxx-xx-xxxx
Llc Mh Trident Iii	General partner	1 Dec 2006	Other	xxx-xx-xxxx
Llc Jc Trident Gp	General partner	1 Dec 2006	Other	xxx-xx-xxxx
Llc Dw Trident Gp	General partner	1 Dec 2006	Other	xxx-xx-xxxx
Llc Nz Trident Gp	General partner	1 Dec 2006	Other	xxx-xx-xxxx
Charles Arthur Davis	Managing member	1 Dec 2006	75% - 100%	816660
James Dawson Carey	Managing member	1 Dec 2006	75% - 100%	2656436
Meryl Deborah Hartzband	Managing member	1 Dec 2006	75% - 100%	5888699
David Jay Wermuth	Managing member	1 Dec 2006	75% - 100%	5473034
Nicolas David Zerbib	Managing member	1 Dec 2006	75% - 100%	5473031
John Larkin Schaefer	Managing member	1 Dec 2007	75% - 100%	1867983
Reed J Nuttall	Managing member	1 Dec 2007	75% - 100%	4142643
Llc Trident Aam Holdings	Shareholder	1 Dec 2007	75% - 100%	26-1504968
Marco Anthony Bravo	Managing member	1 Jan 2010	75% - 100%	5906195
Minnesota Life Insurance Company	Shareholder	1 Dec 2014	75% - 100%	41-0417830

Based in Chicago

The principal office where Asset Allocation & Management Company, LLC performs its advisory services is located at 30 West Monroe Street, Chicago, IL 60603 2405, which is also the mailing address of the firm. An additional office of the firm is in Saint Paul, MN. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 312-263-2900 or by fax 312-263-1196. The normal business hours are 8:00 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at aamcompany.com.