Tributary Capital Management, LLC is a large advisory firm based in Omaha. It manages $1.95 billion of regulatory assets for 1,173 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of California, Colorado, Florida, and 4 other states.
Tributary Capital Management 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.
The assets under management (AUM) of Tributary Capital Management, LLC is $1.95 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 2155% 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 Tributary Capital Management, 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 investment companies, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Stephen Richard Frantz is investment companies with 1 clients and $1.2 billion of assets under management. Among the 6 most similar advisory firms, Tributary Capital Management has the highest percentage of investment companies out of all clients.
The amount of regulatory assets under management is $1.29 billion for 121 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.
Tributary Capital Management doesn't advise any private funds.
The company employs 14 people that are either part- or full-time employees. 57 percent of the employees work as investment advisers or researchers. 5 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.
Stephen Richard Frantz has been acting as President since 1 May 2010. Rita Elizabeth Tholt joined the executive team most recently as the Chief Compliance Officer.
The principal office where Tributary Capital Management, LLC performs its advisory services is located at 1620 Dodge Street, Omaha, NE 68197, 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 877-458-0021 or by fax 402-938-5608. The normal business hours are 8am-5pm on Monday - Friday. You can find more information about the New York firm at tributarycapital.com.