Stone Ridge Asset Management LLC (New York)

Name: Stone Ridge Asset Management LLC
Address: 510 Madison Ave, New York, NY, 10022
Telephone: 212-257-4750

Stone Ridge Asset Management LLC is a large advisory firm based in New York. It manages $15.88 billion of regulatory assets for 19 client accounts. It has been registered with the SEC as an adviser since 2012.

Stone Ridge Asset Management provides portfolio management for investment companies and 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.

Stone Ridge Asset Management: assets under management

The assets under management (AUM) of Stone Ridge Asset Management LLC is $15.88 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 7938815% since the beginning of its operation, and $9.26 million of the total AUM is attributable to clients outside of the United States.

The firm manages $15.88 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $835.68 million each.

Stone Ridge Asset Management has custody of $193.44 million in cash and securities for 2 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Stone Ridge Asset Management LLC for their services and products based on a percentage of assets under management. 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 Stone Ridge Asset Management serves?

The firm provides services to investment companies and pooled investment vehicles. The largest group of clients of Stone Ridge Asset Management is investment companies with 15 clients and $15.36 billion of assets under management. Among the 11 most similar advisory firms, Stone Ridge Asset Management has the 2nd highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $15.88 billion for 19 clients. 5% of the firm’s clients are foreign persons or businesses.

Stone Ridge Asset Management also advises several private funds. Namely, three private equity funds and one securitized asset fund. The minimum investment commitment required of non-related persons ranges from $0 to $100,000.

Careers at Stone Ridge Asset Management LLC

The company employs 136 people that are either part- or full-time employees. 19 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
Stone Ridge Holdings Group Llc	Owner	1 Sep 2012	75% - 100%	46-0874161
Ross L Stevens	Managing member	1 Sep 2012	Other	2677566
Patrick Kelly	Chief operating officer	1 Sep 2012	Other	4347520
Stone Ridge Holdings Group Lp	Owner	1 Sep 2012	75% - 100%	46-0874161
Jane Elizabeth Korach	General counsel/chief compliance officer	1 Sep 2012	Other	5646772
Stoneridge Holdings Group Llc	Owner	1 Sep 2012	75% - 100%	46-0874161
James Thomas Rothwell	Chief administrative officer and head of legal	1 Oct 2015	Other	6590237
Lauren Decker Macioce	General counsel / chief compliance officer	1 Feb 2016	Other	6621248
Tomer Seifan	Head of structured investments and chief financial officer	1 Jan 2018	Other	4945712
Paul Eric Germain	Head of alternative lending and chief operations officer	1 Mar 2018	Other	2931495

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Ross Lawrence Stevens	Limited partner	1 Dec 2017	50% - 75%	2677566

Based in New York

The principal office where Stone Ridge Asset Management LLC performs its advisory services is located at 510 Madison Ave, New York, NY 10022, 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 212-257-4750. The normal business hours are 8:30 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at stoneridgeam.com.