Park Ridge Asset Management LLC (Raleigh)


Park Ridge Asset Management LLC is a large advisory firm based in Raleigh. It manages $103.83 million of regulatory assets for 396 client accounts. It has been registered with the SEC as an adviser since 2018 and has operated in the jurisdictions of New Hampshire, North Carolina, Ohio, Texas, and Virginia.

Park Ridge Asset Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and pension consulting services. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Park Ridge Asset Management: assets under management

The assets under management (AUM) of Park Ridge Asset Management LLC is $103.83 million. The firm's AUM has gone down by -2% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $99.19 million in discretionary accounts and $4.64 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $253.04 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.16 million.

Investments

The firm invests in investment and business development companies the most. They account for 41% of the total AUM. The second-largest asset type is exchange traded securities, which make up 38% of the firm’s portfolio. Investments in cash and cash equivalents form 17% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Park Ridge Asset Management LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Park Ridge Asset Management serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Park Ridge Asset Management is high net worth individuals with 69 clients and $68.63 million of assets under management. Among the 8 most similar advisory firms, Park Ridge Asset Management has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $96.68 million for 175 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.

Park Ridge Asset Management doesn't advise any private funds.

Careers at Park Ridge Asset Management LLC

The company employs 3 people that are either part- or full-time employees. 100 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.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
David Michael Arthur Managing partner 1 Jul 2008 50% - 75% 4578447
Keith Fitzhugh Karlawish Managing partner and cco 1 Dec 2008 50% - 75% 1981565

Based in Raleigh

The principal office where Park Ridge Asset Management LLC performs its advisory services is located at 8317 Six Forks Road, Raleigh, NC 27615, 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 919-896-6150 or by fax 919-803-7754. The normal business hours are 8:00 a.m. to 4:30 p.m. on Monday - Friday. You can find more information about the New York firm at parkridgeam.com.