Spi Strategies, LLC is a large advisory firm based in Oakland. It manages $105.03 million of regulatory assets for 7 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdiction of California.
Spi Strategies provides portfolio management for individuals and small businesses 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.
The assets under management (AUM) of Spi Strategies, LLC is $105.03 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -3% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.
The advisory firm has a single stream of revenue. Clients pay Spi Strategies, 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.
The firm provides services to individuals, high net worth individuals, and state or municipal government entities. The largest group of clients of Spi Strategies is state or municipal government entities with 1 clients and $103.7 million of assets under management. Among the 5 most similar advisory firms, Spi Strategies has the highest percentage of state or municipal government entities out of all clients.
The amount of regulatory assets under management is $105.03 million for 7 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.
Spi Strategies doesn't advise any private funds.
The company employs 5 people that are either part- or full-time employees. 60 percent of the employees work as investment advisers or researchers. 3 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.
The principal office where Spi Strategies, LLC performs its advisory services is located at 350 Frank H. Ogawa Plaza, Oakland, CA 94612, 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 510-208-6100 or by fax 510-625-1065. The normal business hours are 7 am to 3 pm on Monday - Friday. You can find more information about the New York firm at spistrategies.com.