Bertram Capital Management LLC (Foster City)

Name: Bertram Capital Management LLC
Address: 950 Tower Lane, Foster City, CA, 94404
Telephone: 650-358-5000

Bertram Capital Management LLC is a large advisory firm based in Foster City. It manages $977.25 million of regulatory assets for 7 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of California, Florida, and New York.

Bertram Capital Management 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.

Bertram Capital Management: assets under management

The assets under management (AUM) of Bertram Capital Management LLC is $977.25 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -10% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $977.25 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $139.61 million each.

Bertram Capital Management has custody of $548.31 million in cash and securities for 7 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Bertram Capital Management 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 Bertram Capital Management serves?

The only and largest group of clients of Bertram Capital Management is pooled investment vehicles with 7 clients and $977.25 million of assets under management. Among the 9 most similar advisory firms, Bertram Capital Management has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $977.25 million for 7 clients. None of the firm’s clients are foreign persons or businesses.

Bertram Capital Management also advises several private funds. Namely, seven private equity funds. The minimum investment commitment required of non-related persons ranges from $0 to $5,000,000.

Careers at Bertram Capital Management LLC

The company employs 27 people that are either part- or full-time employees. 52 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
Jeffrey M Drazan	Managing member	1 Apr 2006	75% - 100%	6008225
Ingrid Swenson	Chief compliance officer	1 Feb 2012	Other	1942495
Ingrid C. Swenson	Chief compliance officer	1 Feb 2012	Other	6826352
1996 Drazan Family 1996 Trust Dated May 14	Class a member	1 Jan 2015	75% - 100%	xxx-xx-xxxx
Jeffrey M Drazan 2016 Family Trust	Class a member	1 Oct 2018	75% - 100%	xxx-xx-xxxx
Zoey Louise Armstrong	Chief compliance officer	1 May 2019	Other	7124622
Ivy Cheung Ono	Chief financial officer	1 May 2019	Other	7125309

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Jeffrey M Drazan	Trustee	1 Jan 2015	50% - 75%	xxx-xx-xxxx
Stacy D Drazan	Trustee	1 Jan 2015	50% - 75%	xxx-xx-xxxx
Jeffrey M Drazan	Trustee	1 Oct 2018	75% - 100%	xxx-xx-xxxx

Based in Foster City

The principal office where Bertram Capital Management LLC performs its advisory services is located at 950 Tower Lane, Foster City, CA 94404, which is also the mailing address of the firm. An additional office of the firm is in New York, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 650-358-5000 or by fax 650-358-5001. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at bcap.com/.