K2 Advisors, L.L.C. (Stamford)

Name: K2 Advisors, L.L.C.
Address: 300 Atlantic St., Stamford, CT, 06901
Telephone: 203-348-5252

K2 Advisors, L.L.C. is a large advisory firm based in Stamford. It manages $142.4 million of regulatory assets for 6 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdiction of Connecticut.

K2 Advisors, L.L.C provides managing member, general partner to pooled investment vehicles and single investor funds. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

K2 Advisors, L.L.C: assets under management

The assets under management (AUM) of K2 Advisors, L.L.C. is $142.4 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -90% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $142.4 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $23.73 million each.

K2 Advisors, L.L.C has custody of $142.4 million in cash and securities for 6 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay K2 Advisors, L.L.C. for their services and products based on 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 David Charles Saunders serves?

The only and largest group of clients of David Charles Saunders is pooled investment vehicles with 6 clients and $142.4 million of assets under management. Among the 10 most similar advisory firms, K2 Advisors, L.L.C has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $142.4 million for 6 clients. None of the firm’s clients are foreign persons or businesses.

K2 Advisors, L.L.C also advises several private funds.

Careers at K2 Advisors, L.L.C.

David Charles Saunders has been acting as President since 1 May 1997. Madison Sterling Gulley joined the executive team most recently as the Executive Vice President Alternative Strategies.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
David Charles Saunders	Director	1 May 1997	Other	1105753
William Angus Douglass	Founding managing director	1 May 1997	25% - 50%	1158286
Stephanie Ann Christie	Chief financial officer - managing director	1 May 1997	Other	1978665
Robert William Jones	Chief operating officer - managing director	1 May 1997	Other	4514424
Wad Family Trust	Member	1 Dec 2001	Other	13-7306865
Jonathan Mayhew Wainwright	Trustee of the wad family trust	1 Dec 2001	Other	4523920
Lynn Douglass	Trustee of the wad family trust	1 Dec 2001	Other	4938067
Elena Garcia De Madariaga	General counsel-chief compliance officer - managing director	1 Jul 2002	Other	4608210
John Ferguson	Chief compliance officer	1 Aug 2006	Other	4635144
Michael John Andersen	General counsel; chief compliance officer	1 Apr 2007	Other	2040794
Roger B. Kafker	Director	1 Apr 2007	Other	4426863
Llc K2 Advisors Subsidiary Holdings	100 % owner	1 Apr 2007	75% - 100%	20-8776216
Gary Paul Watson	Chief financial officer	1 May 2007	Other	2519005
Michael Anthony Firgeleski	Chief compliance officer	1 Jan 2008	Other	5476048
John Patrick Hornbostel	General counsel	1 Jul 2010	Other	5831407
Bjorn Anthony Davis	Chief compliance officer	1 Jan 2011	Other	4104631
Llc K2 Advisors Holdings	100% owner	1 May 2013	75% - 100%	20-8776078
Benjamin Charles Browning	Chief operating officer	1 Apr 2018	Other	6946261
Madison Sterling Gulley	Executive vice president - alternative strategies	1 Jan 2019	Other	1862155

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
David Charles Saunders	Unit holder	1 Apr 2007	Other	1105753
Llc K2 Advisors Holdings	100% owner	1 Apr 2007	75% - 100%	20-8776078
William Angus Douglass	Unit holder	1 Apr 2007	25% - 50%	1158286
Ta X Lp	Warrant holder (upon exercise)	1 Apr 2007	25% - 50%	20-4529991
Inc. Franklin Resources	Parent organization: 100%	1 Oct 2012	75% - 100%	13-2670991
Llc Franklin Templeton Institutional	Majority owner	1 Nov 2012	50% - 75%	117384

Based in Stamford

The principal office where K2 Advisors, L.L.C. performs its advisory services is located at 300 Atlantic St., Stamford, CT 06901, 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 203-348-5252 or by fax 203-359-6369. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at franklintempleton.com.