Zebra Capital Management, LLC (Stamford)

Name: Zebra Capital Management, LLC
Address: 2187 Atlantic Street, Stamford, CT, 06902
Telephone: 203-701-5900

Zebra Capital Management, LLC is a large advisory firm based in Stamford. It manages $369.37 million of regulatory assets for 8 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdiction of Connecticut.

Zebra Capital Management provides portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and advisory services to private investment funds & sub-advisory services to investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Zebra Capital Management: assets under management

The assets under management (AUM) of Zebra Capital Management, LLC is $369.37 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 11% since the beginning of its operation, and $234.5 million of the total AUM is attributable to clients outside of the United States.

The firm manages $369.37 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $46.17 million each.

Zebra Capital Management has custody of $242.98 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 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Zebra Capital Management, LLC 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 John J Holmgren serves?

The firm provides services to investment companies and pooled investment vehicles. The largest group of clients of John J Holmgren is pooled investment vehicles with 4 clients and $63.19 million of assets under management. Among the 10 most similar advisory firms, Zebra Capital Management has the 5th lowest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $122.32 million for 5 clients. 60% of the firm’s clients are foreign persons or businesses.

Zebra Capital Management also advises several private funds. Namely, two hedge funds. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at Zebra Capital Management, LLC

The company employs 13 people that are either part- or full-time employees. 62 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.

John J Holmgren has been acting as President since 1 Oct 2011. Kevin J Lake joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Roger Glenn Ibbotson	Managing member	1 Sep 2001	75% - 100%	4393768
Zhiwu Nmn Chen	Managing member	1 Sep 2001	25% - 50%	4663666
Peter Andrew Schaffer	Chief operating officer, chief compliance officer	1 Apr 2008	Other	1793456
John J Holmgren	President	1 Oct 2011	Other	1330544
Kevin J Lake	Chief compliance officer	1 Jul 2015	Other	5656707

Based in Stamford

The principal office where Zebra Capital Management, LLC performs its advisory services is located at 2187 Atlantic Street, Stamford, CT 06902, 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 203-701-5900 or by fax 203-878-1113. The normal business hours are 8:30am-5:30pm on Monday - Friday. You can find more information about the New York firm at zebracapital.com.