Stone Arch Capital, LLC (Minneapolis)

Name: Stone Arch Capital, LLC
Address: 800 Nicollet Mall, Minneapolis, MN, 55402
Telephone: 612-317-2980

Stone Arch Capital, LLC is a large advisory firm based in Minneapolis. It manages $355.43 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of Minnesota.

Stone Arch Capital 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.

Stone Arch Capital: assets under management

The assets under management (AUM) of Stone Arch Capital, LLC is $355.43 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 37% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $355.43 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $118.48 million each.

Stone Arch Capital has custody of $355.43 million in cash and securities for 3 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Stone Arch Capital, LLC for their services and products based on a percentage of assets under management 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 Stone Arch Capital serves?

The only and largest group of clients of Stone Arch Capital is pooled investment vehicles with 3 clients and $355.43 million of assets under management. Among the 9 most similar advisory firms, Stone Arch Capital has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $355.43 million for 3 clients. None of the firm’s clients are foreign persons or businesses.

Stone Arch Capital also advises several private funds. Namely, three private equity funds. The minimum investment commitment required of non-related persons is $5,000,000 for each fund.

Careers at Stone Arch Capital, LLC

The company employs 13 people that are either part- or full-time employees. 92 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
Charles Bernard Lannin	Managing member	1 Jan 2005	50% - 75%	1747515
F. Clayton Miller	Managing member	1 Jan 2005	50% - 75%	6014226
Kelly J. Horner	Chief compliance officer	1 Jan 2012	Other	6014224

Based in Minneapolis

The principal office where Stone Arch Capital, LLC performs its advisory services is located at 800 Nicollet Mall, Minneapolis, MN 55402, 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 612-317-2980 or by fax 612-317-2988. The normal business hours are 9am - 5pm on Monday - Friday. You can find more information about the New York firm at stonearchcapital.com.