Lattice Strategies LLC (Wayne)


Lattice Strategies LLC is a large advisory firm based in Wayne. It manages $2.68 billion of regulatory assets for 9 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of California, New York, Pennsylvania, and Texas.

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Lattice Strategies provides portfolio management for investment companies and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Lattice Strategies: assets under management

The assets under management (AUM) of Lattice Strategies LLC is $2.68 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 2418% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $2.68 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $297.25 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Lattice 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.

What kind of clients Lattice Strategies serves?

The only and largest group of clients of Lattice Strategies is investment companies with 9 clients and $2.68 billion of assets under management. Among the 6 most similar advisory firms, Lattice Strategies has the highest percentage of investment companies out of all clients.


The amount of regulatory assets under management is $2.68 billion for 9 clients. None of the firm’s clients are foreign persons or businesses.

Lattice Strategies doesn't advise any private funds.

Careers at Lattice Strategies LLC

The company employs 354 people that are either part- or full-time employees. 8 percent of the employees work as investment advisers or researchers. 45 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 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
Theodore James Lucas Manager, board member 1 Jul 2003 Other 2538213
Charles Robert Schwab Member 1 Jul 2003 Other 1647993
Jupiter Partners L.P. Member 1 Jul 2003 Other 94-2876858
Stephen Andrew Fogle Member 1 Jul 2003 Other 4784148
Salzburg Group Llc Member 1 Jul 2003 Other 20-0397353
Jeremy Stone Member 1 Jul 2003 Other 5844783
Mauricio Fernando Cevallos Member 1 Jul 2004 Other 4331811
Chess Ventures Lp Member 1 Nov 2006 Other 27-3769676
Inc. Chess Holding Company Member 1 Nov 2006 Other 98-0459490
Live Oak Ventures Llc Member 1 Oct 2007 Other 36-3990679
Albert Y Lee Coo, chief compliance officer 1 Sep 2009 Other 4072116
Kevin Compton Board member 1 Jun 2010 Other 5608379
Mark Bradley Whiston Board member 1 Jun 2010 Other 1572679
Lp Radar Partners Ii Member 1 Jun 2010 Other 262009059
John Kingston Board member 1 Feb 2012 Other 3084787
Llc Amg Lgp Acquisition Member 1 Feb 2012 Other 04-3218510
L.P. Route One Fund I Member 1 Aug 2014 Other 27-3123320
William Clyde Stegall Board member 1 Aug 2014 Other 2907158
Dechomai Asset Trust Member 1 Sep 2015 Other 260724604
James Edward Davey Senior managing director, president and chairman of the board 1 Jul 2016 Other 2041562
Joseph Gary Melcher Executive vice president and chief compliance officer 1 Jul 2016 Other 3152206
Gregory A. Frost Managing director and chief financial officer 1 Jul 2016 Other 2864924
Walter Francis Garger Managing director and general counsel 1 Jul 2016 Other 4753411
Hartford Funds Management Company Sole member 1 Jul 2016 75% - 100% 45-4276111
Vernon Joseph Meyer Senior vice president - investments 1 Mar 2019 Other 2416119

Indirect Owners

The SEC currently registers 20 indirect owners.

Name Entity Date acquired Ownership Employer ID
John Maxwell Bryan General partner 1 Feb 1983 Other 1774398
Charles Robert Schwab Manager 1 Dec 1994 75% - 100% 416082
Inc. Hartford Holdings Owner 1 Aug 2002 75% - 100% 22-3866674
Inc. The Hartford Financial Services Group Owner 1 Aug 2002 75% - 100% 13-3317783
Jason Erwin Moment Trustee 1 Jun 2007 Other 5118081
William Francis Duhamel Manager, member 1 Mar 2010 Other 2847674
Jason Erwin Moment Manager 1 Mar 2010 Other 5118081
Ashish Harishchandra Pant Manager, member 1 Mar 2010 Other 5376359
Jason And Jessica Moment Family Living Trust U/A/D 6/11/07 Member 1 Mar 2010 25% - 50% xxx-xx-xxxx
Douglas Mackenzie Partner 1 Jun 2010 25% - 50% 5608376
Stratton Sclavos Member 1 Jun 2010 25% - 50% 5608381
Kala Investments Llc Partner 1 Jun 2010 25% - 50% 26-1422104
Llc Roic General partner 1 Jun 2010 Other 27-2087438
Inc Affiliated Managers Group Sole member 1 Dec 2011 75% - 100% 04-3218510
Alan R. Brudos General partner 1 Mar 2012 Other 4763516
Inc. Hartford Funds Management Group Sole member 1 Nov 2012 75% - 100% 46-1470670
Inc. Hartford Life Owner 1 Dec 2012 75% - 100% 06-1470915
Amanda Atherton Bryan General partner 1 Jan 2014 Other 1774409
Hartford Funds Management Company Llc Sole member 1 Jul 2016 75% - 100% 45-4276111
Inc. Hartford Holdings Owner 1 May 2018 75% - 100% 22-3866674

Based in Wayne

The principal office where Lattice Strategies LLC performs its advisory services is located at 690 Lee Road, Wayne, PA 19087, which is also the mailing address of the firm. An additional office of the firm is in San Francisco, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 610-386-4000 or by fax 855-470-5700. The normal business hours are 9 a.m. to 5 p.m. on Monday - Friday. You can find more information about the New York firm at latticecapital.com.