Wainwright Asset Management LLC (Boston)

Name: Wainwright Asset Management LLC
Address: One Boston Place, Boston, MA, 02108
Telephone: 617-227-3100

Wainwright Asset Management LLC is a large advisory firm based in Boston. It manages $215 million of regulatory assets for 11 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Maryland and Massachusetts.

Wainwright Asset Management provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Wainwright Asset Management: assets under management

The assets under management (AUM) of Wainwright Asset Management LLC is $215 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -14% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $215 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $19.55 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Wainwright 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.

Careers at Wainwright Asset Management LLC

Stephen Dalton Barrett has been acting as President since 1 Mar 2002. Anne Paul Buckley joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
H.C. Wainwright Asset Management Holding Corporation	Owner	1 Jan 1995	75% - 100%	04-3270404
James Lockwood Bosland	Managing director	1 Feb 2001	Other	1294525
Donald Ogden Ross	Managing director	1 Feb 2001	Other	404978
Nancy Stanley Brickley	Senior managing director	1 Feb 2001	Other	2188019
Stephen Dalton Barrett	President	1 Mar 2002	Other	13479
Anne Paul Buckley	Director	1 Mar 2002	Other	1781079

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
H.C. Wainwright Holding Corporation	Shareholder	1 Jan 1995	25% - 50%	00-0453821

Based in Boston

The principal office where Wainwright Asset Management LLC performs its advisory services is located at One Boston Place, Boston, MA 02108, which is also the mailing address of the firm. An additional office of the firm is in Baltimore, MD. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 617-227-3100 or by fax 617-788-9580. The normal business hours are 8:00 to 5:00 on Monday - Friday. You can find more information about the New York firm at www.hcwainwright.com.