Osterweis Capital Management Inc (San Francisco)

Name: Osterweis Capital Management Inc
Address: One Maritime Plaza, Ste 800, San Francisco, CA, 94111
Telephone: 415-434-4441

Osterweis Capital Management Inc is a large advisory firm based in San Francisco. It manages $373.56 million of regulatory assets for 59 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, New Hampshire, and New York.

Osterweis Capital Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for businesses and institutional clients. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Osterweis Capital Management: assets under management

The assets under management (AUM) of Osterweis Capital Management Inc is $373.56 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -58% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $373.56 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $6.33 million each.

Investments

The firm invests in exchange traded securities the most. They account for 91% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 9% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Osterweis Capital Management Inc for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Tully Michael Friedman serves?

The firm provides services to investment companies and high net worth individuals. The largest group of clients of Tully Michael Friedman is high net worth individuals with 53 clients and $246.73 million of assets under management. Among the 7 most similar advisory firms, Osterweis Capital Management has the 4th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $362.68 million for 54 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Osterweis Capital Management doesn't advise any private funds.

Careers at Osterweis Capital Management Inc

The company employs 58 people that are either part- or full-time employees. 29 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.

Tully Michael Friedman has been acting as President since 1 Nov 1984. Kane Family Trust Dtd 6/27/2005 joined the executive team most recently as the Kane Family Trust Dtd 6/27/2005.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Frederick Warren Hellman	Trustee, hellman revocable trust	1 Dec 1981	Other	1367884
Patricia C Hellman	Trustee, hellman revocable trust	1 Dec 1981	Other	2122973
John Steven Osterweis	Director, president, secretary & treasurer	1 Dec 1982	Other	354004
Frederick Warren Hellman	Director	1 Dec 1982	Other	1367884
Tully Michael Friedman	Director	1 Nov 1984	Other	214743
U/A/Dated 09/13/1993 Osterweis Revocable Trust	Shareholder	1 Jan 1994	25% - 50%	xxx-xx-xxxx
John Steven Osterweis	Trustee, osterweis revocable trust	1 Jan 1994	Other	354004
Steven Aaron Monosson	Vp/analyst/asst port mgr/shareholder	1 Jan 1994	Other	1224869
U/A/Dated 09/13/1993 John S. Osterweis Trustee Osterweis Revocable Trust	Shareholder	1 Jan 1994	50% - 75%	xxx-xx-xxxx
Frederick Warren Hellman And Patricia Christina Hellman Co Trustees Hellman Family Revocable Trust	Shareholder	1 Jan 1994	Other	xxx-xx-xxxx
Frederick Warren Hellman	Trustee, hellman revocable trust	1 Jan 1994	Other	1367884
Patricia C Hellman	Trustee, hellman revocable trust	1 Jan 1994	Other	2122973
Patricia Christine Hellman	Trustee, hellman revocable trust	1 Jan 1994	Other	2122973
Pamela Sue Nichter	Vp/cfo/coo	1 May 1994	Other	4344767
Pamela Sue Zabel	Vp/cfo/coo	1 May 1994	Other	1008636
Nicholas Michael Graves	Vp/analyst/asst port mgr/shareholder	1 Jan 1998	Other	2106773
Doretta Louise Dunegan	Director of compliance	1 Jun 2000	Other	2200106
Steven A. Monosson And Linda A.W. Monosson Trustees Steven A. Monosson And Linda A.W. Monosson Revocable Trust	Shareholder	1 Feb 2002	Other	xxx-xx-xxxx
Steven Aaron Monosson	Trustee, monosson revocable trust	1 Feb 2002	Other	1224869
Linda A.W. Monosson	Trustee, monosson revocable trust	1 Feb 2002	Other	4643807
Nicholas M. Graves And Mary W. Graves Trustees Graves Revocable Trust	Shareholder	1 Feb 2002	Other	xxx-xx-xxxx
Nicholas Michael Graves	Trustee, graves revocable trust	1 Feb 2002	Other	2106773
Mary W. Graves	Trustee, graves revocable trust	1 Feb 2002	Other	4643914
Berler Family Trust	Shareholder	1 Jan 2004	Other	xxx-xx-xxxx
Amy Bernhard Berler	Trustee, berler family trust	1 Jan 2004	Other	1739320
Gregory Scott Hermanski	Trustee, hermanski family trust	1 Jan 2004	Other	3067618
Matthew Kip Berler	Trustee, berler family trust	1 Jan 2004	Other	1737324
Carl Kaufman & Martha Angove Revocable Trust	Shareholder	1 Jan 2004	Other	xxx-xx-xxxx
Carl Philip Kaufman	Trustee, carl kaufman & martha angove revocable trust	1 Jan 2004	Other	864661
Martha Elizabeth Angove	Trustee, carl kaufman & martha angove revocable trust	1 Jan 2004	Other	1053786
Hermanski Family Trust	Shareholder	1 Jan 2004	Other	xxx-xx-xxxx
Rebecca Dawn Hermanski	Trustee, hermanski family trust	1 Jan 2004	Other	6470590
John Foxon Tavernetti	Chief compliance officer	1 Jan 2005	Other	2725108
Berler Family Trust	Shareholder	1 Jan 2005	Other	xxx-xx-xxxx
Matthew Kip Berler	Trustee, berler family trust	1 Jan 2005	Other	1737324
Amy Bernhard Berler	Trustee, berler family trust	1 Jan 2005	Other	1739320
Berler Matthew Kip Trustee Berler Family Trust	Shareholder	1 Jan 2005	Other	xxx-xx-xxxx
Alexander (Sasha) Kovriga	Trustee, kovriga family revocable trust	1 Jan 2006	Other	6050274
Kovriga Family Revocable Trust	Shareholder	1 Jan 2006	Other	xxx-xx-xxxx
Irina Kovriga	Trustee, kovriga family revocable trust	1 Jan 2006	Other	6058175
Kovriga Family Rev Trust	Shareholder	1 Jan 2006	Other	xxx-xx-xxxx
The Lee Family Trust	Shareholder	1 Dec 2009	Other	xxx-xx-xxxx
Tsun Hsien Lee	Trustee, lee family trust	1 Dec 2009	Other	6316155
Mazng C. Lee	Trustee, lee family trust	1 Dec 2009	Other	6316598
Mang C. Lee	Trustee, lee family trust	1 Dec 2009	Other	6316598
John Steven Osterweis	Chairman and chief investment officer	1 Jan 2011	Other	354004
Matthew Kip Berler	President and chief executive officer	1 Jan 2011	Other	1737324
Administrative Trust Under The Hellman Family Revocable Trust	Shareholder	1 Dec 2011	Other	61-6437107
Marco Warren Hellman	Co-trustee, admininstrative trust under the hellman family revocable	1 Dec 2011	Other	4367230
Kathryn Ann Hall	Co-trustee, administrative trust under the hellman family revocable trust	1 Dec 2011	Other	1307798
Dated December 18 2011 Patricia Christina Hellman Survivor's Trust	Shareholder	1 Dec 2011	Other	61-6437107
Marco W. Hellman And Kathryn A. Hall Co Trustees Administrative Trust Under The Hellman Family Revocable Trust	Shareholder	1 Dec 2011	Other	61-6437107
Marco Warren Hellman	Director	1 Apr 2012	Other	4367230
Catherine Halberstadt	Chief operating officer & chief financial officer	1 Aug 2014	Other	2468289
John Steven Osterweis	Chairman	1 May 2016	Other	354004
Matthew Kip Berler	Vice chairman	1 May 2016	Other	1737324
Sarah Chang	Trustee, eubanks/chang family trust	1 Jan 2017	Other	6777568
Shawn Michael Eubanks	Trustee, eubanks/chang family trust	1 Jan 2017	Other	4161037
Eubanks/Chang Family Trust	Shareholder	1 Jan 2017	Other	xxx-xx-xxxx
Llc Ocm Stock Holdings	Shareholder	1 Jan 2017	Other	81-4841623
Catherine Halberstadt	Co-ceo and co-president	1 Apr 2017	Other	2468289
Carl Philip Kaufman	Co-ceo and co-president	1 Apr 2017	Other	864661
Kane Family Trust Dtd 6/27/2005	Kane family trust dtd 6/27/2005	1 Jan 2018	Other	xxx-xx-xxxx
Bradley Morgan Kane	Trustee, kane family trust dtd 6/27/2005	1 Jan 2018	Other	2407275
Rachel Zenner Kane	Trustee, kane family trust dtd 6/27/2005	1 Jan 2018	Other	6931798
Catherine Halberstadt	Shareholder	1 Jan 2018	Other	2468289

Based in San Francisco

The principal office where Osterweis Capital Management Inc performs its advisory services is located at One Maritime Plaza, Ste 800, San Francisco, CA 94111, 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 415-434-4441 or by fax 415-434-0918. The normal business hours are 7:00am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at osterweis.com.