Stark & Roth LLC (Milwaukee)

Name: Stark & Roth LLC
Address: 735 North Water Street, Milwaukee, WI, 53202
Telephone: 414-294-7000

Stark & Roth LLC is a large advisory firm based in Milwaukee. It manages $305.71 million of regulatory assets for 25 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdiction of Wisconsin.

Stark & Roth provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Stark & Roth: assets under management

The assets under management (AUM) of Stark & Roth LLC is $305.71 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -90% since the beginning of its operation, and $131.77 million of the total AUM is attributable to clients outside of the United States.

The firm manages $305.71 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $12.23 million each.

Stark & Roth has custody of $205.03 million in cash and securities for 22 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Stark & Roth 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.

What kind of clients Stark & Roth serves?

The only and largest group of clients of Stark & Roth is pooled investment vehicles with 16 clients and $305.71 million of assets under management. Among the 7 most similar advisory firms, Stark & Roth has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $305.71 million for 16 clients. 73% of the firm’s clients are foreign persons or businesses.

Stark & Roth also advises several private funds. Namely, twenty two hedge funds. The minimum investment commitment required of non-related persons ranges from $0 to $5,000,000.

Careers at Stark & Roth LLC

The company employs 15 people that are either part- or full-time employees. 40 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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Brian Jay Stark	Chief executive officer and chief investment officer	1 Aug 1993	Other	2183087
Michael Anthony Roth	Executive vice president	1 Aug 1993	Other	2183296
Robert James Barnard	Deputy chief investment officer and principal	1 Jan 2000	Other	4007217
Mehul Shailesh Desai	Chief risk officer	1 Jul 2004	Other	5315168
Brett Randall Meili	Chief compliance officer	1 Mar 2005	Other	2961219
Daniel Joseph Mcnally	Chief operating officer, general counsel and principal	1 Jan 2006	Other	5245155
Stark & Roth Holding Inc.	Member	1 Dec 2010	75% - 100%	27-4662810
Joseph Roy Tylicki	Chief financial officer	1 Jan 2011	Other	5882769
Venton Nimani	Chief risk officer	1 May 2011	Other	5972783
Michael Stephen Chick	Chief compliance officer and associate general counsel	1 Feb 2012	Other	4283632
Ryan Robert Anderson	Chief compliance officer	1 Jul 2013	Other	4283412

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Brian Jay Stark	Common stock shareholder	1 Dec 2010	75% - 100%	2183087
Michael Anthony Roth	Common stock shareholder	1 Dec 2010	25% - 50%	2183296

Based in Milwaukee

The principal office where Stark & Roth LLC performs its advisory services is located at 735 North Water Street, Milwaukee, WI 53202, 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 414-294-7000 or by fax 414-294-7700. The normal business hours are 8:00 am - 5:00 pm cst on Monday - Friday. You can find more information about the New York firm at starkinvestments.com.