Lowe Enterprises Investment Management, LLC (Los Angeles)

Name: Lowe Enterprises Investment Management, LLC
Address: 11755 Wilshire Blvd., Los Angeles, CA, 90025
Telephone: 800-261-4481

Lowe Enterprises Investment Management, LLC is a large advisory firm based in Los Angeles. It manages $1.71 billion of regulatory assets for 13 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdiction of California.

Lowe Enterprises Investment Management provides portfolio management for businesses and institutional clients, pension consulting services, and real estate investment management and supervisory services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Lowe Enterprises Investment Management: assets under management

The assets under management (AUM) of Lowe Enterprises Investment Management, LLC is $1.71 billion. The firm's AUM has grown by 306% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

Lowe Enterprises Investment Management has custody of $49.5 million in cash and securities for 13 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in non-exchange traded securities the most. They account for 97% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 3% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Lowe Enterprises Investment Management, LLC 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 Michael Hamilton Lowe serves?

The only and largest group of clients of Michael Hamilton Lowe is corporations or other businesses with 6 clients and $1.03 billion of assets under management. Among the 11 most similar advisory firms, Lowe Enterprises Investment Management has the highest percentage of corporations or other businesses out of all clients.

The amount of regulatory assets under management is $1.03 billion for 6 clients. None of the firm’s clients are foreign persons or businesses.

Lowe Enterprises Investment Management doesn't advise any private funds.

Careers at Lowe Enterprises Investment Management, LLC

The company employs 27 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person 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.

Michael Hamilton Lowe has been acting as President since 1 Aug 2010. Peter John Finley joined the executive team most recently as the Senior Vice President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Kerri Anne O'neill	Member & sr. vice president portfolio management	1 Jan 2002	Other	5316098
Inc. Leim Parent	Member	1 Nov 2002	25% - 50%	95-4304294
John Michael Demarco	Chief legal officer/chief compliance officer	1 Dec 2002	Other	4362229
Philip Rising Peters	Exec vp	1 Dec 2002	Other	4362255
David F Morrison	Director	1 Dec 2002	Other	3216411
Thomas C Garbutt	Director	1 Dec 2002	Other	1814811
Theodore Moreau Leary	Director/president/ceo	1 Dec 2002	Other	4362202
Brian Thomas Prinn	Director/chairman	1 Dec 2002	Other	4362210
Kathleen Sue Briscoe	Exec vp	1 Dec 2002	Other	4362213
Robert James Lowe	Director	1 Dec 2002	Other	4362215
Lowe Enterprises Investment Management Inc	Shareholder	1 Dec 2002	50% - 75%	106206
Llc Tiaa Realty Capital Management	Shareholder	1 Dec 2002	25% - 50%	13-4227025
Bleecker Provoost Seaman	Evp/cfo	1 Dec 2002	Other	4362227
Ronald Eugene Silva	Exec vp	1 Dec 2002	Other	716377
Bradford Wilson Howe	Exec vp	1 Jul 2003	Other	2425714
Theodore Moreau Leary	Director/chairman	1 Oct 2004	Other	4362202
Bleecker Provoost Seaman	President/ceo	1 Oct 2004	Other	4362227
Michael Hamilton Lowe	Investment committee chair	1 Jun 2006	Other	5316096
Llc Leim Holding	Member	1 Nov 2006	Other	20-5928159
Robert James Lowe	Chairman of board of directors	1 Aug 2010	Other	4362215
Bleecker Provoost Seaman	Co-ceo, director, member, investment committee chair	1 Aug 2010	Other	4362227
Bradford Wilson Howe	Co-ceo, director and member	1 Aug 2010	Other	2425714
Michael Hamilton Lowe	Director	1 Aug 2010	Other	5316096
Robert Treanor O'rourke	Director	1 Aug 2010	Other	5907646
Thomas George Sorell	Director	1 Aug 2010	Other	1020936
Jeremy Joseph Iaccino	Member and chief financial officer	1 Aug 2010	Other	5033403
Llc Guardian Leim	Member	1 Aug 2010	50% - 75%	27-3458476
Robert T O'rourke	Director	1 Aug 2010	Other	5907646
Thomas Patrick Lydon	Director	1 Aug 2011	Other	2303446
Peter Gabriel Houghton	Member and sr vice president	1 Jul 2013	Other	6318714
Russell Dean Munn	Member and sr vice president	1 Jul 2013	Other	2823299
William Monroe Cockrum	Member and sr vice president	1 Jul 2013	Other	2438157
Peter G Houghton	Member and sr vice president	1 Jul 2013	Other	6318714
Andrew Isaac Sands	Member and sr vice president	1 Jan 2014	Other	2270323
Cara Lee Leonard	Member and sr vice president	1 Jan 2014	Other	6318719
Cara L Leonard	Member and sr vice president	1 Jan 2014	Other	6318719
Peter John Finley	Senior vice president	1 Jan 2015	Other	1736646

Indirect Owners

The SEC currently registers 8 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Robert James Lowe	Shareholder	1 Mar 1982	50% - 75%	4362215
Inc. Lowe Enterprises	Shareholder	1 Jan 1991	75% - 100%	95-3738683
Tiaa Board Of Overseers	Shareholder	1 Oct 1993	75% - 100%	13-6110585
Teachers Insurance And Annuity Association Of America	Shareholder	1 Dec 2001	75% - 100%	13-1624203
Llc Tiaa Financial Services	Shareholder	1 Dec 2002	75% - 100%	13-4201676
Inc. Lowe Enterprises	Member	1 Feb 2005	75% - 100%	95-3738683
Llc Lowe Enterprises Investors	Shareholder	1 Feb 2005	75% - 100%	20-2341470
The Guardian Life Insurance Company Of America	Member	1 Jun 2010	75% - 100%	13-5123390

Based in Los Angeles

The principal office where Lowe Enterprises Investment Management, LLC performs its advisory services is located at 11755 Wilshire Blvd., Los Angeles, CA 90025, which is also the mailing address of the firm. An additional office of the firm is in Philadelphia, PA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 800-261-4481 or by fax 310-231-7507. The normal business hours are 8:30 a.m. to 5:30 p.m. on Monday - Friday. You can find more information about the New York firm at loweenterprisesinvestors.com.