Copper Rock Capital Partners LLC (Boston)

Name: Copper Rock Capital Partners LLC
Address: 200 Clarendon Street, Boston, MA, 02116
Telephone: 617-369-7100

Copper Rock Capital Partners LLC is a large advisory firm based in Boston. It manages $4 billion of regulatory assets for 35 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Copper Rock Capital Partners provides portfolio management for individuals and small businesses, portfolio management for investment companies, 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.

Copper Rock Capital Partners: assets under management

The assets under management (AUM) of Copper Rock Capital Partners LLC is $4 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 4264% since the beginning of its operation, and $2.73 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $4 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $114.27 million each.

Investments

The firm invests in exchange traded securities the most. They account for 95% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 3% of the firm’s portfolio. Investments in investment and business development companies form 2% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Copper Rock Capital Partners 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 Copper Rock Capital Partners serves?

The firm provides services to investment companies, pooled investment vehicles, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Copper Rock Capital Partners is pension and profit sharing plans with 24 clients and $2.58 billion of assets under management. Among the 10 most similar advisory firms, Copper Rock Capital Partners has the highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $4 billion for 35 clients. 55% of the firm’s clients are foreign persons or businesses.

Copper Rock Capital Partners also advises several private funds. Namely, one other private fund. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at Copper Rock Capital Partners LLC

The company employs 22 people that are either part- or full-time employees. 41 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 3 people 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
Peter Jon Hadelman	Principal and head of relationship management	1 Jan 2005	Other	3071218
Tucker Matthew Walsh	Manager and member	1 Jan 2005	50% - 75%	4910362
Michael Fawzy Malouf	President and member	1 Jan 2005	Other	3130723
Gregory Theodore Poulos	Member	1 Jan 2005	Other	2774234
Michael Louis Sakala	Chief financial officer, chief compliance officer and member	1 Jan 2005	Other	2809938
Michael James Callahan	Member	1 Jan 2005	Other	1791386
Copper Rock Employees L.P.	Member	1 Apr 2005	25% - 50%	73-1728136
Inc. Omam	Member	1 Feb 2006	50% - 75%	04-2714625
Omam Inc.	Member	1 Feb 2006	50% - 75%	04-2714625
Brightsphere Inc.	Member	1 Feb 2006	50% - 75%	04-2714625
David Craig Cavanaugh	Principal	1 Feb 2006	Other	2790931
Old Mutual (Us) Holdings Inc.	Member	1 Feb 2006	50% - 75%	04-2714625
Thomas Moynihan Turpin	Manager	1 Feb 2006	Other	1888979
Scott Francis Powers	Manager	1 Feb 2006	Other	1482612
Michael Andrew Forrester	Principal, manager, chief executive officer, chief operating officer	1 Sep 2007	Other	1975471
Linda Tilton Gibson	Manager	1 Jul 2008	Other	1754883
Stephen Dexter	Principal, manager,chief investment officer, chairman of the board and portfolio manager	1 Jan 2009	Other	1470607
Denise Dolores Selden	Principal and portfolio manager	1 Jan 2009	Other	1053595
David Harry Shea	Principal and portfolio manager	1 Jan 2009	Other	5655054
Stephen Patrick Dexter	Principal, manager,chief investment officer, chairman of the board and portfolio manager	1 Jan 2009	Other	1470607
Jeffrey Robert Gates	Chief compliance officer	1 Jan 2010	Other	4068275
Yolanda S Taylor	Principal and senior analyst	1 Feb 2010	Other	2260986
James Edward Mikolaichik	Manager	1 Sep 2010	Other	5047043
Jeffrey Ryan Golden	Principal and research analyst	1 Jan 2011	Other	4208986
Aidan John Riordan	Manager	1 Jul 2011	Other	2394294
Rajat Babbar	Principal and portfolio specialist	1 Feb 2012	Other	4676570
Stephen Harold Belgrad	Manager	1 Nov 2013	Other	2087759
Jennifer Elizabeth Duval Souza	Manager	1 Jan 2018	Other	4681752

Indirect Owners

The SEC currently registers 12 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Om Group (Uk) Limited	100% shareholder of old mutual (us) holdings inc.	1 Jan 2003	75% - 100%	foreign
Old Mutual Plc	100% shareholder of om group (uk) limited	1 Jan 2003	75% - 100%	foreign
Tucker Matthew Walsh	Sole member	1 Feb 2005	75% - 100%	4910362
Tucker Walsh Llc	Sole general partner	1 Apr 2005	Other	56-2501172
Copper Rock Kelp Gp Llc	Sole general partner	1 Jun 2014	25% - 50%	47-1404712
Michael Andrew Forrester	Limited partner	1 Jun 2014	25% - 50%	1975471
Limited Omam Uk	Sole shareholder of omam inc.	1 Sep 2014	75% - 100%	98-1183573
Inc. Omam Us	Sole shareholder of omam uk, limited	1 Sep 2014	75% - 100%	47-1121020
Limited Brightsphere Uk	Sole shareholder of brightsphere inc.	1 Sep 2014	75% - 100%	98-1183573
Inc. Brightsphere Us	Sole shareholder of brightsphere uk, limited	1 Sep 2014	75% - 100%	47-1121020
Om Asset Management Plc	Sole shareholder of omam us, inc.	1 Oct 2014	75% - 100%	98-1179929
Brightsphere Investment Group Plc	Sole shareholder of brightsphere us, inc.	1 Oct 2014	75% - 100%	98-1179929

Based in Boston

The principal office where Copper Rock Capital Partners LLC performs its advisory services is located at 200 Clarendon Street, Boston, MA 02116, 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 617-369-7100 or by fax 617-369-7208. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at copperrockcapital.com.