Smn Investment Services Gmbh (Vienna)

Name: Smn Investment Services Gmbh
Address: Rotenturmstrasse 16 18, Vienna, 1010
Telephone: +43 1 5132551

Smn Investment Services Gmbh is a large advisory firm based in Vienna. It manages $527.27 million of regulatory assets for 5 client accounts. It has been registered with the SEC as an adviser since 2019.

Smn Investment Services Gmbh provides 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.

Smn Investment Services Gmbh: assets under management

The assets under management (AUM) of Smn Investment Services Gmbh is $527.27 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 20% since the beginning of its operation, and $527.27 million of the total AUM is attributable to clients outside of the United States.

The firm manages $527.27 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $105.45 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Smn Investment Services Gmbh for their services and products based on a percentage of assets under management 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 Smn Investment Services Gmbh serves?

The only and largest group of clients of Smn Investment Services Gmbh is pooled investment vehicles with 5 clients and $527.27 million of assets under management. Among the 9 most similar advisory firms, Smn Investment Services Gmbh has the 3rd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $527.27 million for 5 clients. 100% of the firm’s clients are foreign persons or businesses.

Smn Investment Services Gmbh also advises several private funds. Namely, two hedge funds. The minimum investment commitment required of non-related persons ranges from $100,000 to $10,000,000.

Careers at Smn Investment Services Gmbh

The company employs 12 people that are either part- or full-time employees. 50 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
Michael Neubauer Privatstiftung	Owning entity	1 Aug 1998	50% - 75%	foreign entity
Christian Mayer Privatstiftung	Owning entity	1 Aug 1998	50% - 75%	foreign entity
Gernot Karl Heitzinger	Managing director	1 Dec 2004	Other	7146288
Michael Hellmut Maximilian Stephani	Authorized officer	1 Dec 2008	Other	7146303
Roland Werner Gollenbeck	Managing director and chief compliance officer	1 Aug 2014	Other	7146293
Joseph Waldstein Wartenberg	Authorized officer	1 Sep 2014	Other	7146297

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Michael Nmn Neubauer	Trustor and ultimate beneficial owner	1 Sep 1998	Other	7146337
Christian Nmn Mayer	Board member	1 Sep 1998	Other	7146350
Christian Nmn Hausmaninger	Board member	1 Sep 1998	Other	7146355
Doris Nmn Mayer	Ultimate beneficial owner	1 Sep 1998	50% - 75%	7146372
Alexander Nmn Svoboda	Board member	1 Oct 2005	Other	7146366
Alexander Nmn Svoboda	Board member	1 Nov 2005	Other	7146366

Based in Vienna

The principal office where Smn Investment Services Gmbh performs its advisory services is located at Rotenturmstrasse 16 18, Vienna, 1010, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number +43 1 5132551 or by fax +43 1 5137941. The normal business hours are 08:00am - 05:00pm on Monday - Friday. You can find more information about the New York firm at smn.at/ and its LinkedIn profile.