Nautilus Advisors LLC (San Diego)

Name: Nautilus Advisors LLC
Address: 2550 Fifth Avenue, San Diego, CA, 92103
Telephone: 619-573-4600

Nautilus Advisors LLC is a large advisory firm based in San Diego. It manages $161.36 million of regulatory assets for 534 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of California, Louisiana, and Texas.

Nautilus Advisors provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and pension consulting 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.

Nautilus Advisors: assets under management

The assets under management (AUM) of Nautilus Advisors LLC is $161.36 million. The firm's AUM has grown by 47% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $157.25 million in discretionary accounts and $4.11 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $296.7 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.03 million.

Nautilus Advisors has custody of $16.7 million in cash and securities for 21 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 44% of the total AUM. The second-largest asset type is investment and business development companies, which make up 30% of the firm’s portfolio. Investments in cash and cash equivalents form 14% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Nautilus Advisors LLC for their services and products based on a percentage of assets under management and fixed 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 Nautilus Advisors serves?

The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Nautilus Advisors is high net worth individuals with 45 clients and $136.95 million of assets under management. Among the 9 most similar advisory firms, Nautilus Advisors has the 3rd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $161.36 million for 288 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Nautilus Advisors doesn't advise any private funds.

Careers at Nautilus Advisors LLC

The company employs 5 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 5 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
Brigand Wade Kline	Managing member and chief compliance officer	1 Jun 2010	25% - 50%	4478155
Thomas Scott Brenner	Managing member	1 Jun 2010	25% - 50%	4458594
Michael Shea Behner	Managing member	1 Jun 2010	25% - 50%	3264037
Michael Shea Behner	Principal	1 Sep 2010	Other	3264037
Bwk Inc.	Member	1 Jan 2011	25% - 50%	23-3103248
Brenner Enterprises	Member	1 Jan 2011	25% - 50%	27-4605863
Msb Industries Inc	Member	1 Sep 2011	25% - 50%	45-3343148
Thomas Scott Brenner	Chief compliance officer	1 Jan 2012	Other	4458594

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Brigand Wade Kline	Owner	1 May 2010	75% - 100%	4478155
Thomas Scott Brenner	Owner	1 Dec 2010	75% - 100%	4458594
Michael Shea Behner	Owner	1 Sep 2011	75% - 100%	3264037

Based in San Diego

The principal office where Nautilus Advisors LLC performs its advisory services is located at 2550 Fifth Avenue, San Diego, CA 92103, 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 619-573-4600 or by fax 619-255-4273. The normal business hours are 9:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at nautilusadv.com.