D.J. St. Germain Co., Inc. (Springfield)

Name: D.J. St. Germain Co., Inc.
Address: 1500 Main St, Springfield, MA, 01115
Telephone: [413]733-5111

D.J. St. Germain Co., Inc. is a large advisory firm based in Springfield. It manages $714.65 million of regulatory assets for 4,976 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 47 other states.

D.J. St. Germain Co. provides financial planning services, portfolio management for individuals and small businesses, and portfolio management for pooled investment vehicles. It prepares financial plans for approximately 1,000 clients. On top of advisory services, the firm doesn't engage in other business activities.

D.J. St. Germain Co.: assets under management

The assets under management (AUM) of D.J. St. Germain Co., Inc. is $714.65 million. The firm's AUM has grown by 217% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $705.34 million in discretionary accounts and $9.31 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $143.74 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $134.99 thousand.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay D.J. St. Germain Co., Inc. 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.

Careers at D.J. St. Germain Co., Inc.

Brian Patrick Trelease has been acting as President since 1 Jul 1967. Michael Robert Matty has served as the Chief Investment Officer since 1 Mar 2002. Inc. D.J. St. Germain Co. joined the executive team most recently as the Corporate Parent.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Brian Patrick Trelease	President	1 Jul 1967	50% - 75%	449116
Robert Gregory Gale	Vice president	1 Jun 1980	Other	1022174
Joseph Brewster Stgermain	5% owner	1 Jan 1982	Other	xxx-xx-xxxx
John Manwell Lewis	Vice president	1 Jan 1987	Other	308715
Robert Gregory Gale	Vice president	1 Jun 1987	Other	1022174
Brian Patrick Trelease	President	1 Mar 1988	25% - 50%	449116
Paul Herbert Gale	Director	1 Mar 1988	Other	xxx-xx-xxxx
Paul Joseph Valickus	Vice president	1 Mar 1995	Other	2612546
Paul Joseph Valickus	Director	1 Jun 1997	Other	2612546
Brian Patrick Trelease	Chairman/director	1 Mar 2002	25% - 50%	449116
Paul Joseph Valickus	President/director	1 Mar 2002	Other	2612546
Michael Robert Matty	Chief investment officer/director	1 Mar 2002	Other	3258559
Paul Herbert Gale	Director	1 Mar 2002	25% - 50%	xxx-xx-xxxx
Robert Alan Lapre	Treasurer	1 Jun 2002	Other	4033911
Paul Joseph Marchese	Senior vice president	1 Jan 2003	Other	2355072
Paul Joseph Marchese	Vice president marketing	1 Sep 2003	Other	2355072
Paul Herbert Gale	Retired director	1 Mar 2004	Other	xxx-xx-xxxx
Paul Herbert Gale	Director	1 Dec 2005	Other	xxx-xx-xxxx
Laurie A. Long	Chief operating officer	1 Jan 2008	Other	4614206
Paul Joseph Valickus	Chairman	1 Nov 2008	25% - 50%	2612546
Michael Robert Matty	President/ chief compliance officer	1 Nov 2008	25% - 50%	3258559
Timothy Wallace Suffish	Director	1 Nov 2008	Other	2856029
Inc. D.J. St. Germain Co.	Corporate parent	1 Aug 2010	75% - 100%	04-2194178

Based in Springfield

The principal office where D.J. St. Germain Co., Inc. performs its advisory services is located at 1500 Main St, Springfield, MA 01115, which is also the mailing address of the firm. An additional office of the firm is in Hartford, CT. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number [413]733-5111 or by fax [413]747-0848. The normal business hours are 8:00am to 5:00pm on Monday - Friday. You can find more information about the New York firm at www.djstgermain.com.