Coastedge Partners, LLC (La Jolla)


Coastedge Partners, LLC is a large advisory firm based in La Jolla. It manages $1.47 billion of regulatory assets for 485 client accounts. It has been registered with the SEC as an adviser since 2015 and has operated in the jurisdictions of California, Minnesota, and Texas.

Coastedge Partners provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Coastedge Partners: assets under management

The assets under management (AUM) of Coastedge Partners, LLC is $1.47 billion. The firm's AUM has grown by 388% since the beginning of its operation, and $2.01 million of the total AUM is attributable to clients outside of the United States.

The firm manages $191.62 million in discretionary accounts and $1.28 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.01 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $4.33 million.
Coastedge Partners has custody of $123.31 million in cash and securities for 42 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in state and local bonds the most. They account for 79% of the total AUM. The second-largest asset type is exchange traded securities, which make up 10% of the firm’s portfolio. Investments in pooled investment vehicles form 5% of the total invested assets.

Fees & Commissions

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

The firm provides services to high net worth individuals, pooled investment vehicles, and corporations or other businesses. The largest group of clients of Coastedge Partners is high net worth individuals with 74 clients and $1.27 billion of assets under management. Among the 8 most similar advisory firms, Coastedge Partners has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $1.47 billion for 99 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.

Coastedge Partners also advises several private funds. Namely, three other private funds and eight private equity funds. The minimum investment commitment required of non-related persons ranges from $100,000 to $1,000,000.

Careers at Coastedge Partners, LLC

The company employs 9 people that are either part- or full-time employees. 33 percent of the employees work as investment advisers or researchers. 4 employees are registered as investment adviser representatives with the state securities authorities.

There are 4 people 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
Theodore T Tu Portfolio manager, and member 1 Sep 2010 Other 2074409
Effress Family Trust Member 1 Dec 2014 75% - 100% xxx-xx-xxxx
Richard Joseph Effress Senior operating executive and chief compliance officer; trustee of effress family trust 1 Dec 2014 75% - 100% 2159776
Steven Scott Simpson Managing partner 1 Jan 2017 Other 4668252
Simpson Family Trust 12/15/09 Member 1 Jan 2017 25% - 50% 149685
Llc Sand Dollar Partners Member 1 Jan 2017 Other 83-0353916
Arthur Greg Gleeson Chief operating officer and chief compliance officer 1 Sep 2017 Other 3174053

Indirect Owners

The SEC currently registers 3 indirect owners.

Name Entity Date acquired Ownership Employer ID
Lauren Michelle Simpson Trustee 1 Jan 2017 Other 6468279
Richard Joseph Effress Trustee 1 Jan 2017 Other 2159776
Jessica Sloop Effress Trustee 1 Jan 2017 Other 6774822

Based in La Jolla

The principal office where Coastedge Partners, LLC performs its advisory services is located at 888 Prospect St., La Jolla, CA 92037, 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 858-997-2777 or by fax 858-997-2776. The normal business hours are 9am-5pm on Monday - Friday. You can find more information about the New York firm at coastedge.com.