Eam Investors, LLC (Cardiff By The Sea)


Eam Investors, LLC is a large advisory firm based in Cardiff By The Sea. It manages $828.13 million of regulatory assets for 13 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of California.

Eam Investors provides portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Eam Investors: assets under management

The assets under management (AUM) of Eam Investors, LLC is $828.13 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 157% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $828.13 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $63.7 million each.

Investments

The firm invests in exchange traded securities the most. They account for 98% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 2% of the firm’s portfolio.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Eam Investors, LLC for their services and products based on a percentage of assets under management. 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 Eam Investors serves?

The firm provides services to investment companies and pooled investment vehicles. The largest group of clients of Eam Investors is investment companies with 7 clients and $442.96 million of assets under management. Among the 8 most similar advisory firms, Eam Investors has the 2nd highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $462.46 million for 8 clients. None of the firm’s clients are foreign persons or businesses.

Eam Investors also advises several private funds.

Careers at Eam Investors, LLC

The company employs 17 people that are either part- or full-time employees. 71 percent of the employees work as investment advisers or researchers. 4 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
Montie Lee Weisenberger Senior vice president, managing member 1 Jul 2007 Other 4246645
Travis Tyler Prentice Ceo, chief investment officer, managing member 1 Jul 2007 Other 3106625
Joshua Matthew Moss Vice president, member 1 Jul 2007 Other 4217948
Derek John Gaertner Chief operating officer, chief compliance officer, member 1 Oct 2007 Other 5073232
Inc. Cr Financial Holdings Member 1 May 2008 25% - 50% 33-0914744
Frank Page Hurst President, managing member 1 Jun 2011 Other 3203693
Richard Arthur Gadbois Managing member 1 Jun 2011 Other 712439
Llc Waco Limited Member 1 Jan 2014 25% - 50% 46-4549626

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Byron Clarence Roth Shareholder 1 Jan 2000 75% - 100% 1768553
Inc. Cr Financial Holdings Member 1 Jan 2014 75% - 100% 33-0914744

Based in Cardiff By The Sea

The principal office where Eam Investors, LLC performs its advisory services is located at 2533 South Coast Highway 101, Cardiff By The Sea, CA 92007, 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 760-479-5080 or by fax 760-633-1431. The normal business hours are 6:00 am - 3:00 pm on Monday - Friday. You can find more information about the New York firm at eaminvestors.com.