Rampart Investment Management Company, LLC (Hartford)

Name: Rampart Investment Management Company, LLC
Address: One Financial Plaza, Hartford, CT, 06103
Telephone: 800-248-7971

Rampart Investment Management Company, LLC is an investment adviser to an investment company based in Hartford. It manages $1.69 billion of regulatory assets for 72 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of Connecticut, Massachusetts, and New York.

Rampart Investment Management Company 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.

Rampart Investment Management Company: assets under management

The assets under management (AUM) of Rampart Investment Management Company, LLC is $1.69 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 22% since the beginning of its operation, and $3 million of the total AUM is attributable to clients outside of the United States.

The firm manages $1.69 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $23.52 million each.

Investments

The firm invests in derivatives the most. They account for 98% of the total AUM. The second-largest asset type is exchange traded securities, which make up 1% of the firm’s portfolio. Investments in cash and cash equivalents form 1% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Rampart Investment Management Company, 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 Rampart Investment Management Company serves?

The firm provides services to individuals, investment companies, high net worth individuals, and corporations or other businesses. The largest group of clients of Rampart Investment Management Company is investment companies with 9 clients and $1.52 billion of assets under management. Among the 9 most similar advisory firms, Rampart Investment Management Company has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $1.69 billion for 72 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Rampart Investment Management Company doesn't advise any private funds.

Careers at Rampart Investment Management Company, LLC

The company employs 7 people that are either part- or full-time employees. 57 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person 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
Inc. Virtus Partners	Sole member	1 Jul 2012	75% - 100%	06-1369627
Ronald Mark Egalka	President and chief investment officer	1 Oct 2012	Other	4081871
David Ross Fraley	Executive managing director client services	1 Oct 2012	Other	4081827
Debbie Lynn Cancela	Managing director of operations & chief compliance officer	1 Oct 2012	Other	5035493
George Robert Aylward	Executive vice president and chairman	1 Oct 2012	Other	4932163
Michael Aaron Angerthal	Executive vice president and chief financial officer	1 Oct 2012	Other	5632934
Mark Stephen Flynn	Executive vice president and general counsel	1 Oct 2012	Other	5941225
Francis George Waltman	Executive vice president	1 Oct 2012	Other	1778566
Richard Ros Davis	Managing director of investments	1 Oct 2012	Other	1082251
George R. Aylward	Executive vice president and chairman	1 Oct 2012	Other	4932163
Michael A Angerthal	Executive vice president and chief financial officer	1 Oct 2012	Other	5632934
Mark S Flynn	Executive vice president and general counsel	1 Oct 2012	Other	5941225
Richard Ros Davis	Managing director of institutional sales	1 Jan 2014	Other	1082251
Warun Nmn Kumar	Senior managing director and chief investment officer	1 Oct 2015	Other	3043101
James Robert Sena	Chief compliance officer	1 Oct 2015	Other	2735258
Kevin J Carr	Senior vice president, legal & assistant secretary	1 Oct 2015	Other	4910225

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Virtus Investment Partners	Shareholder	1 Dec 2008	75% - 100%	26-3962811
Inc. Virtus Investment Partners	Shareholder	1 Jul 2012	75% - 100%	26-3962811

Based in Hartford

The principal office where Rampart Investment Management Company, LLC performs its advisory services is located at One Financial Plaza, Hartford, CT 06103, which is also the mailing address of the firm. An additional office of the firm is in Rockland, MA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 800-248-7971 or by fax 860-241-1005. The normal business hours are 9am - 5pm on Monday - Friday. You can find more information about the New York firm at rimco.com/.