Knox Capital Advisors, LLC (Draper)

Name: Knox Capital Advisors, LLC
Address: 13961 S. Minuteman Drive, Draper, UT, 84020
Telephone: 801-984-8000

Knox Capital Advisors, LLC is a mid-sized advisory firm based in Draper. It manages $41.78 million of regulatory assets for 169 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Arizona, California, Colorado, and 6 other states.

Knox Capital Advisors provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, pension consulting services, and selection of other advisers. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Knox Capital Advisors: assets under management

The assets under management (AUM) of Knox Capital Advisors, LLC is $41.78 million. The firm's AUM has gone down by -41% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $5.09 million in discretionary accounts and $36.69 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $50.88 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $531.76 thousand.

Investments

The firm invests in other assets the most. They account for 60% of the total AUM. The second-largest asset type is pooled investment vehicles, which make up 29% of the firm’s portfolio. Investments in exchange traded securities form 10% of the total invested assets.

Fees & Commissions

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

The firm provides services to individuals and high net worth individuals. The largest group of clients of Knox Capital Advisors is high net worth individuals with 78 clients and $41.4 million of assets under management. Among the 3 most similar advisory firms, Knox Capital Advisors has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $41.78 million for 89 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.

Knox Capital Advisors also advises several private funds. Namely, one hedge fund and one private equity fund. The minimum investment commitment required of non-related persons is $40,000 for each fund.

Careers at Knox Capital Advisors, LLC

The company employs 3 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There are 2 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 receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Llc Crimson Holdings	Holding company	1 Jan 2006	75% - 100%	20-4322714
Stanley Martin Kimball	Managing member	1 Jan 2006	Other	4138612
James Brett Belliston	President & chief compliance officer	1 Jan 2006	Other	2402952
Brodie Dean Barnes	Managing member & chief executive officer	1 Apr 2009	Other	2368626
Ryan Rowe Wright	Chief compliance officer	1 Feb 2013	Other	4459175

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Llc Brokar Investments	Managing partner	1 Jan 2006	25% - 50%	90-0326134
Llc Terra Alta	Managing partner	1 Jan 2006	25% - 50%	45-1604310
Brodie Dean Barnes	Managing partner	1 Jan 2006	25% - 50%	2368626
Lance Varro Dambrosio	Managing member	1 Apr 2009	25% - 50%	1451046

Based in Draper

The principal office where Knox Capital Advisors, LLC performs its advisory services is located at 13961 S. Minuteman Drive, Draper, UT 84020, 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 801-984-8000 or by fax 801-984-8008. The normal business hours are 8:00am to 5:00pm on Monday - Friday. You can find more information about the New York firm at knoxcap.com.