Efficent Capital Management, LLC (Naperville)

Name: Efficent Capital Management, LLC
Address: 300 East 5 Th Avenue, Suite 300, Naperville, IL, 60563
Telephone: 630-753-1200

Efficent Capital Management, LLC is a large advisory firm based in Naperville. It manages $62.5 million of regulatory assets for 7 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdiction of Illinois.

Efficent Capital Management provides portfolio management for pooled investment vehicles, pension consulting services, and market timing 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.

Efficent Capital Management: assets under management

The assets under management (AUM) of Efficent Capital Management, LLC is $62.5 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $62.5 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $8.93 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Efficent Capital Management, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Efficent Capital Management, LLC

William Judson Aulie has served as the Chief Investment Officer since 1 Jun 1999. Donna Marie Allen joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Ernest Lee Jaffarian	President & ceo	1 Apr 1999	Other	2013844
William Judson Aulie	Chief investment officer	1 Jun 1999	Other	2972441
Llc Jaffarian Management Company	Manager	1 Jul 1999	50% - 75%	36-4291545
Ltd. Phillip Brokerage Private	Member	1 Jul 1999	Other	foreign
Mijen Family Limited Partnership	Member	1 Jul 1999	Other	36-4297053
Llc Ginter Capital Management	Member	1 Jul 1999	Other	36-4299643
Anthony Joseph Saliba	Member	1 Jul 1999	Other	845896
William Carl Floersch	Member	1 Jul 1999	Other	2376600
Ronald Leslie Davis	Chief operations officer	1 Oct 2001	Other	1162672
James Martin Field	Chief financial officer	1 Feb 2002	Other	5070358
Chad Richard Martinson	Chief technology officer	1 Mar 2002	Other	5070363
David Adams Martin	Director of due diligence	1 Aug 2003	Other	5071470
J. Timothy Onufrock	General counsel	1 Jun 2004	Other	5070571
Michael Roy Marcey	Director of business developement	1 Sep 2004	Other	5071475
Donna Marie Allen	Chief compliance officer	1 Jul 2005	Other	1206173

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Hau Min Lim	Shareholder	1 Jan 1993	75% - 100%	5076770
Ernest Lee Jaffarian	Manager	1 May 1999	50% - 75%	2013844
Trula Madsen Jaffarian	Member	1 May 1999	25% - 50%	5076778
Peter John Layton	General partner	1 May 1999	Other	2217531
Tracy Jean Layton	General partner	1 May 1999	Other	1877055
Joanna Kay Ginter	Manager	1 Jun 1999	75% - 100%	5076958

Based in Naperville

The principal office where Efficent Capital Management, LLC performs its advisory services is located at 300 East 5 Th Avenue, Suite 300, Naperville, IL 60563, 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 630-753-1200 or by fax 630-848-1364. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at www.efficientcapital.com.