Sabrient Systems, LLC (Santa Barbara)


Sabrient Systems, LLC is an internet adviser based in Santa Barbara. It manages $5.24 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2014 and has operated in the jurisdictions of Arizona, California, Florida, and Texas.

Sabrient Systems provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, publication of newsletters, security ratings or pricing services, and we build portfolios for clients' uits; provide eqr overlay for client's etf; build indices tracked by 3rd party etfs. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Sabrient Systems: assets under management

The assets under management (AUM) of Sabrient Systems, LLC is $5.24 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 17% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $5.24 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.62 million each.

Investments

The firm invests in exchange traded securities the most. They account for 98% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 2% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Sabrient Systems, LLC for their services and products based on a percentage of assets under management and subscription fees. Subscribers pay a regular fee for the advisory firm’s newsletter or periodical. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Carolyn Sue Brown serves?

The only and largest group of clients of Carolyn Sue Brown is individuals with 22 clients and $0 of assets under management. Among the 1 most similar advisory firms, Sabrient Systems has the 0th lowest percentage of individuals out of all clients.

4% of the firm’s clients are foreign persons or businesses.

Sabrient Systems doesn't advise any private funds.

Careers at Sabrient Systems, LLC

The company employs 16 people that are either part- or full-time employees. 56 percent of the employees work as investment advisers or researchers. 2 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.

Carolyn Sue Brown has been acting as President since 1 Dec 2000. Jeffrey Daryl Brown joined the executive team most recently as the Director.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Carolyn Sue Brown Director 1 Dec 2000 25% - 50% 6405702
Scott William Appleby Member 1 Nov 2002 Other 2471161
William Ward Carey Member 1 May 2003 Other 2172423
Woodmont Clarke Llc Member 1 Apr 2004 Other 94-3234155
Llc Www Investors Member 1 Dec 2004 25% - 50% 33-0935443
Danny Vickers President and chief executive officer 1 May 2014 Other 6340682
Brent Miller Chief compliance officer 1 May 2014 Other 6340683
Kassandra Bentley Director and member 1 Aug 2014 Other 6395998
Raymond J. Chiarello Chief compliance officer and chief financial officer 1 Sep 2014 Other 6396064
Scott Gordon Martindale Director (09/2016) and president 1 May 2016 Other 6723182
Jeffrey Daryl Brown Director 1 Sep 2016 Other 6771890

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
David Lee Brown Member 1 Dec 2000 50% - 75% 32140
Edward Sundong Hahn Owner 1 Apr 2004 75% - 100% 3000764

Based in Santa Barbara

The principal office where Sabrient Systems, LLC performs its advisory services is located at 350 South Hope Avenue, Santa Barbara, CA 93105, which is also the mailing address of the firm. An additional office of the firm is in Phoenix, AZ. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 805-730-7777 or by fax 805-464-3207. The normal business hours are 8:30 am - 5:30 pm on Monday - Friday. You can find more information about the New York firm at sabrientsystems.com.