Sustainable Growth Advisers, LP (Stamford)


Sustainable Growth Advisers, LP is a large advisory firm based in Stamford. It manages $9.1 billion of regulatory assets for 77 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdictions of California, Colorado, Connecticut, and 22 other states.

Sustainable Growth Advisers provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, 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.

Sustainable Growth Advisers: assets under management

The assets under management (AUM) of Sustainable Growth Advisers, LP is $9.1 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 60541% since the beginning of its operation, and $3.67 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $9.1 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $118.13 million each.

Investments

The firm invests in exchange traded securities the most. They account for 97% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 3% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Sustainable Growth Advisers, LP 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 Sustainable Growth Advisers serves?

The firm provides services to individuals, insurance companies, investment companies, charitable organizations, high net worth individuals, pooled investment vehicles, corporations or other businesses, pension and profit sharing plans, state or municipal government entities, and sovereign wealth funds and foreign official institutions. The largest group of clients of Sustainable Growth Advisers is investment companies with 5 clients and $3.67 billion of assets under management. Among the 11 most similar advisory firms, Sustainable Growth Advisers has the 2nd highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $9.1 billion for 435 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 28% of the firm’s clients are foreign persons or businesses.

Sustainable Growth Advisers doesn't advise any private funds.

Careers at Sustainable Growth Advisers, LP

The company employs 24 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 2 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates 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
Gordon Michael Marchand Principal 1 May 2003 Other 2462298
George Patrice Fraise Principal 1 May 2003 Other 1739318
Llc Sgia General partner 1 May 2003 Other 05-0571264
Robert Lawrence Rohn Principal 1 Nov 2003 Other 2211670
Mary Ellen Greve Chief compliance officer 1 Dec 2004 Other 2621307
Alexandra Sunah Lee Research principal 1 Jan 2005 Other 4267332
Kishore D Rao Research principal 1 Sep 2005 Other 2986784
Michael Tucker Brown Research principal 1 Apr 2006 Other 2783006
Lp Estancia Capital Partners Partner 1 Aug 2013 Other 27-0665503
Peter Joseph Seuffert Chief operating officer 1 Feb 2014 Other 1671642
Daniel Cole Callaway Chief compliance officer 1 Nov 2015 Other 2885176
Inc. Virtus Partners Shareholder 1 Jul 2018 50% - 75% 95-4191764

Indirect Owners

The SEC currently registers 7 indirect owners.

Name Entity Date acquired Ownership Employer ID
Michael Casares Mendez Trustee 1 Dec 1992 Other 2273279
Cheryl Lynn Mendez Trustee 1 Dec 1992 Other 6147164
Inc. Virtus Investment Partners Sole shareholder 1 Nov 2008 75% - 100% 26-3962811
Llc Estancia Managing Directors Managing member 1 May 2010 75% - 100% 27-2804671
Llc Estancia Gp General partner 1 Oct 2012 Other 27-0665256
L.L.C. Third Act Member 1 Jan 2013 50% - 75% 46-1924446
U/T/A Dated December 14 1992 Mendez Family Trust Managing member 1 Jan 2013 50% - 75% xxx-xx-xxxx

Based in Stamford

The principal office where Sustainable Growth Advisers, LP performs its advisory services is located at 301 Tresser Boulevard, 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 203-348-4742 or by fax 203-348-4732. The normal business hours are 9:00 to 5:00 on Monday - Friday. You can find more information about the New York firm at sgadvisers.com.