Top Tier Capital Partners, LLC (San Francisco)


Top Tier Capital Partners, LLC is a large advisory firm based in San Francisco. It manages $6.86 billion of regulatory assets for 27 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdictions of California and New York.

Top Tier Capital Partners 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.

Top Tier Capital Partners: assets under management

The assets under management (AUM) of Top Tier Capital Partners, LLC is $6.86 billion. The firm's AUM has grown by 252% since the beginning of its operation, and $170.71 million of the total AUM is attributable to clients outside of the United States.

The firm manages $3.75 billion in discretionary accounts and $3.11 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $149.82 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.56 billion.

Investments

The firm invests in pooled investment vehicles the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Top Tier Capital Partners, LLC for their services and products based on a percentage of assets under management, fixed fees, 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 Robert James Eu serves?

The firm provides services to pooled investment vehicles and state or municipal government entities. The largest group of clients of Robert James Eu is pooled investment vehicles with 25 clients and $3.75 billion of assets under management. Among the 9 most similar advisory firms, Top Tier Capital Partners has the 4th lowest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $6.86 billion for 27 clients. 19% of the firm’s clients are foreign persons or businesses.

Top Tier Capital Partners also advises several private funds. Namely, nineteen venture capital funds. The minimum investment commitment required of non-related persons ranges from $5,000,000 to $10,000,000.

Careers at Top Tier Capital Partners, LLC

The company employs 30 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives 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.

Robert James Eu has been acting as President since 1 Apr 2011. Denis Patrick Donovan joined the executive team most recently as the Director.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
David Arthur York Ceo, director & member (common class) 1 Apr 2011 25% - 50% 1303720
James Daniel Townsend Executive officer and member (common class) 1 Apr 2011 Other 5907774
Philip Steven Paul Non-executive chairman, director & member (preferred class) 1 Apr 2011 Other 4362440
Lisa Marie Edgar Director, member (common class) 1 Apr 2011 Other 4095768
Robert James Eu Director 1 Apr 2011 Other 3149075
Llc Shea Ventures Opportunity Fund B Member (preferred class) 1 Apr 2011 50% - 75% 45-0923305
Llc Hambrecht Eu Vista Member (preferred class) 1 Apr 2011 Other 27-4633044
Philip S Paul Chairman, director & member (common class) 1 Apr 2011 25% - 50% 4362440
John C Morrissey Director 1 Apr 2011 Other 5914423
John Carroll Morrissey Director 1 Apr 2011 Other 5914423
D.A. Griscom Chief financial officer 1 Jun 2011 Other 2619579
Sean Charles Warren Executive officer and chief compliance officer and member (common class) 1 Sep 2011 Other 4310559
Jeffrey Alan Watts Chief business development officer 1 Sep 2013 Other 2581526
Jessica Lee Archibald Executive officer and member (common class) 1 Jan 2014 Other 2531231
Kevin Eric Dunlap Director 1 May 2014 Other 5914858
Garth Andrew Timoll Executive officer and member (common class) 1 Jul 2015 Other 3101503
Sean Charles Warren Executive officer and member (preferred class) 1 Oct 2016 Other 4310559
Denis Patrick Donovan Director 1 May 2017 Other 5005047

Indirect Owners

The SEC currently registers 35 indirect owners.

Name Entity Date acquired Ownership Employer ID
John Francis Shea Shareholder/trustee 1 Nov 1986 25% - 50% 5914878
Dorothy Babbitt Shea Shareholder/trustee 1 Nov 1986 25% - 50% 6024952
John F Shea Shareholder/trustee 1 Nov 1986 25% - 50% 5914878
Dorothy Shea Shareholder/trustee 1 Nov 1986 25% - 50% 6024952
Peter Owen Shea Shareholder/trustee 1 Jan 1995 25% - 50% 5914880
Carolyn Hand Shea Shareholder/trustee 1 Jan 1995 25% - 50% 6024958
Peter O Shea Shareholder/trustee 1 Jan 1995 25% - 50% 5914880
Carolyn Shea Shareholder/trustee 1 Jan 1995 25% - 50% 6024958
Inc. Shea Diversified Investments Shareholder 1 May 2001 25% - 50% 22-3820615
John F Shea Director 1 May 2001 Other 5914878
Peter O Shea Director 1 May 2001 Other 5914880
John Carroll Morrissey Managing director 1 Feb 2004 Other 5914423
John C Morrissey Managing director 1 Feb 2004 Other 5914423
E&M Shea Revocable Trust Director 1 Apr 2009 Other 1479274
Mary S Shea Trustee 1 Apr 2009 Other 2606377
John C Morrissey Successor trustee 1 Apr 2009 Other 5914423
Mary Shea Shea Trustee 1 Apr 2009 Other 2606377
John Carroll Morrissey Successor trustee 1 Apr 2009 Other 5914423
Lp Shea Ventures Opportunity Fund Member 1 Mar 2010 75% - 100% 27-2348895
Lp Svo Gp Managing member 1 Mar 2010 75% - 100% 27-2348836
Llc Svo Gp General partner 1 Mar 2010 75% - 100% 27-2348753
Llc Shea Ventures Member 1 Mar 2010 25% - 50% 95-4735343
Kevin Eric Dunlap Managing member 1 Mar 2010 Other 5914858
Jason Michael Schoettler Managing member 1 Mar 2010 Other 5914860
Kevin Dunlap Managing member 1 Mar 2010 Other 5914858
Jason Schoettler Managing member 1 Mar 2010 Other 5914860
Sean Charles Warren Member 1 Jan 2011 25% - 50% 4310559
Elizabeth Boyer Hambrecht Manager 1 Jan 2011 Other 2271772
Robert James Eu Member 1 Jan 2011 25% - 50% 3149075
Andrew Douglas Eu Member 1 Jan 2011 25% - 50% 4352318
Anne Eu Warren Member 1 Jan 2011 25% - 50% 5915017
E&M Shea Revocable Trust Shareholder 1 May 2011 25% - 50% 27-7090099
Mary Shea Shea Trustee 1 Jul 2012 Other 2606377
John Carroll Morrissey Successor trustee 1 Jul 2012 Other 5914423
Survivor's Trust U/A Eighth E&M Shea Revocable Trust Shareholder 1 Jul 2012 25% - 50% 27-6829775

Based in San Francisco

The principal office where Top Tier Capital Partners, LLC performs its advisory services is located at 600 Montgomery St., San Francisco, CA 94111, 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 415-835-7500 or by fax 415-835-7501. The normal business hours are 8:00a to 5:00p on Monday - Friday. You can find more information about the New York firm at ttcp.com.

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