The Tokarz Group Advisers LLC (Purchase)

Name: The Tokarz Group Advisers LLC
Address: 287 Bowman Avenue, Purchase, NY, 10577
Telephone: 914-701-0310

The Tokarz Group Advisers LLC is a large advisory firm based in Purchase. It manages $477.11 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of Illinois, New York, and Ohio.

The Tokarz Group Advisers provides portfolio management for investment companies and 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.

The Tokarz Group Advisers: assets under management

The assets under management (AUM) of The Tokarz Group Advisers LLC is $477.11 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 91% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $477.11 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $159.04 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay The Tokarz Group Advisers 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 The Tokarz Group Advisers serves?

The firm provides services to pooled investment vehicles and business development companies. The largest group of clients of The Tokarz Group Advisers is business development companies with 1 clients and $364.35 million of assets under management. Among the 9 most similar advisory firms, The Tokarz Group Advisers has the highest percentage of business development companies out of all clients.

The amount of regulatory assets under management is $477.11 million for 3 clients. None of the firm’s clients are foreign persons or businesses.

The Tokarz Group Advisers also advises several private funds. Namely, one other private fund. The minimum investment commitment required of non-related persons is $250,000 for each fund.

Careers at The Tokarz Group Advisers LLC

The company employs 21 people that are either part- or full-time employees. 62 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
Michael Theodore Tokarz	Manager	1 Jun 2006	Other	4871594
Nancy Marie Tokarz	Member	1 Jun 2006	Other	5222984
Michael T. Tokarz	Manager	1 Jun 2006	Other	4871594
Jaclyn Lauren Rothchild	Vice president	1 Sep 2006	Other	2942260
Bruce William Shewmaker	Managing director	1 Sep 2006	Other	3273485
Inc. Ttg Investment Advisers	N/a	1 Sep 2006	75% - 100%	20-5602071
Scott Schuenke	Chief compliance officer	1 Sep 2006	Other	5209912
Peter Seidenberg	Chief financial officer	1 Sep 2006	Other	5209997
Jaclyn Lauren Shapiro	Vice president	1 Sep 2006	Other	2942260
Bruce W Shewmaker	Managing director	1 Sep 2006	Other	3273485
Scott Joseph Schuenke	Chief compliance officer	1 Sep 2006	Other	5209912
Peter Faust Seidenberg	Chief financial officer	1 Sep 2006	Other	5209997
Warren E Holtsberg	Managing director	1 Oct 2009	Other	5720624
Scott Joseph Schuenke	Chief financial officer	1 Nov 2013	Other	5209912
Kevin Michael Byrne	Chief compliance officer	1 Jan 2015	Other	6460189

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Michael Theodore Tokarz	100% shareholder	1 Sep 2006	75% - 100%	4871594
Michael T. Tokarz	100% shareholder	1 Sep 2006	75% - 100%	4871594

Based in Purchase

The principal office where The Tokarz Group Advisers LLC performs its advisory services is located at 287 Bowman Avenue, Purchase, NY 10577, which is also the mailing address of the firm. An additional office of the firm is in Chicago, IL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 914-701-0310 or by fax 914-701-0315. The normal business hours are 8am - 6pm on Monday - Friday. You can find more information about the New York firm at ttga.com.