Pandya, Sandeep Madhavlal (Cupertino)

Pandya, Sandeep Madhavlal is a large advisory firm based in Cupertino. It manages $500 million of regulatory assets for 350 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of California.

Pandya, Sandeep Madhavlal provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Pandya, Sandeep Madhavlal: assets under management

The assets under management (AUM) of Pandya, Sandeep Madhavlal is $500 million. The firm's AUM has grown by 1567% since the beginning of its operation, and $10 million of the total AUM is attributable to clients outside of the United States.

The firm manages $350 million in discretionary accounts and $150 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.17 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $3 million.

Investments

The firm invests in exchange traded securities the most. They account for 80% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 10% of the firm’s portfolio. Investments in state and local bonds form 5% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Pandya, Sandeep Madhavlal 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 Sandeep Pandya serves?

The firm provides services to high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Sandeep Pandya is high net worth individuals with 90 clients and $440 million of assets under management. Among the 8 most similar advisory firms, Pandya, Sandeep Madhavlal has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $500 million for 100 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 5% of the firm’s clients are foreign persons or businesses.

Pandya, Sandeep Madhavlal doesn't advise any private funds.

Careers at Pandya, Sandeep Madhavlal

The company employs 2 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative 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.

Sandeep Pandya has been acting as President since 1 Jan 1995. Sandeep Madhavlal Pandya joined the executive team most recently as the President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Sandeep Pandya	President	1 Jan 1995	75% - 100%	2578444
Sandeep Madhavlal Pandya	President	1 Dec 1995	75% - 100%	113178

Based in Cupertino

The principal office where Pandya, Sandeep Madhavlal performs its advisory services is located at 20380 Town Center Lane, Cupertino, CA 95014, 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 408-257-7711 or by fax 408-904-5611. The normal business hours are 7:45 am - 6:00 pm on Monday - Friday.