Flag Capital Management, LLC (Stamford)


Flag Capital Management, LLC is a large advisory firm based in Stamford. It manages $5.12 billion of regulatory assets for 39 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of California, Colorado, Connecticut, and 12 other states.

Flag Capital Management provides portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Flag Capital Management: assets under management

The assets under management (AUM) of Flag Capital Management, LLC is $5.12 billion. The firm's AUM has grown by 483% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $5.04 billion in discretionary accounts and $80 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $136.33 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $40 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Flag 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 Flag Capital Management, LLC

Beverley (Nmn) Hendry has been acting as President since 1 Sep 2015. Andrew Alasdair Smith joined the executive team most recently as the President.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Louis Peter Lawrence Member and managing partner 1 Oct 1994 Other 5078727
Diana Human Frazier Member and managing partner 1 Oct 1994 Other 5078729
L.P. Edgewater Investment Partners Member 1 Jan 2002 75% - 100% 36-4335668
Louis Sciarretta Chief operating officer 1 Jan 2002 Other 5078836
L.P. Streamliner Partners Member 1 Jan 2002 25% - 50% 06-1568819
Kathryn Price Lucier Member and partner 1 Jan 2003 Other 2025534
Peter Lockwood Denious Member and partner 1 Jan 2004 Other 2235046
Michael Sullivan Member and partner 1 Jan 2004 Other 5078844
Alexis Athens Palmer Principal 1 Apr 2006 Other 3140920
Karen Marie Hansen General counsel and chief compliance officer 1 May 2006 Other 5291197
James Henry Gasperoni Partner and member 1 Jul 2006 Other 5291191
Arthur Man General counsel / chief compliance officer 1 Sep 2006 Other 4402724
Timothy Clarke Fritzinger Principal 1 Jan 2007 Other 5291192
Scott Whitman Reed Member and partner 1 Mar 2007 Other 2261250
Daniel Christopher Iamiceli Cfo 1 Oct 2009 Other 5075105
Keqing Wei Principal 1 Dec 2009 Other 5762305
John Williams Dickie Principal 1 Nov 2010 Other 5898304
Arthur Man General counsel / chief compliance officer 1 Sep 2011 Other 4402724
Warren Chang Principal 1 Mar 2012 Other 6312998
Kirsten Morin Principal 1 Jun 2014 Other 6468461
Aberdeen Asset Management Inc. Member 1 Aug 2015 75% - 100% 111069
Beverley (Nmn) Hendry President 1 Sep 2015 Other 4375005
Andrew Alasdair Smith President 1 Sep 2015 Other 4909668
Ralph Emerson Bassett Vice president 1 Sep 2015 Other 6519917
Jeffrey Lawrence Cotton Vice president 1 Sep 2015 Other 4713561
Lisa Kupper Secretary 1 Sep 2015 Other 6291029
Richard F. Fonash Vice president 1 Sep 2015 Other 4705848
Alan Robin Goodson Vice president 1 Sep 2015 Other 4492919
Tracey J Grant Vice president 1 Sep 2015 Other 5070819
Gene R. Janvier Vice president 1 Sep 2015 Other 4537626
Andrea Lee Melia Vice president 1 Sep 2015 Other 2174935
Christopher Michael Edwards Vice president 1 Sep 2015 Other 5873271
Jennifer Ann Nichols Vice president 1 Sep 2015 Other 5376493
Sofia Rosala Vice president, cco 1 Sep 2015 Other 3184911
Charles Tan Vice president 1 Sep 2015 Other 6418914
Marika Irma Tooze Vice president 1 Sep 2015 Other 6148744

Indirect Owners

The SEC currently registers 4 indirect owners.

Name Entity Date acquired Ownership Employer ID
1999 Lawrence Descendant's Trust Limited partner 1 Jan 2002 75% - 100% 36-7297041
Louis Peter Lawrence General partner 1 Jan 2002 Other 5078727
Josh L. Frazier Exemption Trust Under The Diana H. Frazier 2000 Descendants Trust Limited partner 1 Jan 2002 75% - 100% 01-1111111
Diana Human Frazier General partner 1 Jan 2002 Other 5078729

Based in Stamford

The principal office where Flag Capital Management, LLC performs its advisory services is located at 1266 East Main Street, Stamford, CT 06902, which is also the mailing address of the firm. An additional office of the firm is in Boston, MA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 203-352-0440 or by fax 203-352-0441. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at flagcapital.com.