Vertex Investment Management Inc (Boston)

Name: Vertex Investment Management Inc
Address: 500 Boylston Street, Boston, MA, 02116
Telephone: 617-954-5835

Vertex Investment Management Inc is an adviser based in Boston. It manages $1 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2001.

Vertex Investment Management provides portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Vertex Investment Management: assets under management

The assets under management (AUM) of Vertex Investment Management Inc is $1 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -98% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Vertex Investment Management Inc 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 Vertex Investment Management Inc

Arnold Dwayne Scott has been acting as President since 1 Feb 1998. Robert Joseph Whelan joined the executive team most recently as the Treasurer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Jeffrey Lee Shames	President & director	1 Jan 1998	Other	2580662
Massachusetts Financial Services Company	Parent company	1 Jan 1998	75% - 100%	110045
Arnold Dwayne Scott	Director	1 Feb 1998	Other	416886
Stephen Edward Cavan	Secretary	1 Feb 1998	Other	1857002
Joseph William Dellorusso	Treasurer	1 Feb 1998	Other	2637135
Sharon Joy Ellis	Director of compliance	1 Feb 1998	Other	4341419
John William Ballen	Executive v.p. and chief investment officer	1 Feb 1998	Other	4341404
Kevin Ralph Parke	Director	1 Jan 2002	Other	4341421
Robert Joseph Whelan	Treasurer	1 May 2002	Other	2766179

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Sun Life Assurance Company Of Canada	Shareholder	1 Mar 1865	75% - 100%	04-2461439
Inc. Sun Life Of Canada (U.S.) Financial Services Holdings	Shareholder	1 Dec 1997	75% - 100%	04-3401285
Inc. Sun Life Assurance Company Of Canada Us Operations Holdings	Shareholder	1 Dec 1997	75% - 100%	04-3401283
Inc. Sun Life Financial Services Of Canada	Shareholder	1 Mar 2000	75% - 100%	98-0226074
Inc. Sun Life Financial (U.S.) Holdings	Shareholder	1 Sep 2001	75% - 100%	04-3579262
Sun Life Financial (U.S.)Investments Llc	Shareholder	1 Sep 2001	75% - 100%	04-3579262

Based in Boston

The principal office where Vertex Investment Management Inc performs its advisory services is located at 500 Boylston Street, Boston, MA 02116, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 617-954-5835 or by fax 617-954-7514. The normal business hours are 9 a.m. - 5 p.m. on Monday - Friday. You can find more information about the New York firm at www.mfs.com.