Convex Capital Management LLC (Warrenville)

Name: Convex Capital Management LLC
Address: 4200 Cantera Drive, Warrenville, IL, 60555
Telephone: 630-791-9037

Convex Capital Management LLC is an adviser based in Warrenville. It manages $1.99 million of regulatory assets for 20 client accounts. It has been registered with the SEC as an adviser since 2014 and has operated in the jurisdiction of Illinois.

Convex Capital Management provides portfolio management for individuals and small businesses 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.

Convex Capital Management: assets under management

The assets under management (AUM) of Convex Capital Management LLC is $1.99 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -92% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.99 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $99.49 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 99% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 1% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Convex Capital Management LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Convex Capital Management serves?

The only and largest group of clients of Convex Capital Management is individuals with 12 clients and $1.83 million of assets under management. Among the 0 most similar advisory firms, Convex Capital Management has the 0th lowest percentage of individuals out of all clients.

The amount of regulatory assets under management is $1.83 million for 12 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.

Convex Capital Management doesn't advise any private funds.

Careers at Convex Capital Management LLC

The company employs 2 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 2 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
Saumen Chattopadhyay	Managing member, chief compliance officer	1 Jan 2013	50% - 75%	4624565
Mcconnell Partners Group Llc	Owner	1 Jun 2013	Other	46-2934854
Whitestone Captial Partners	Owner	1 Jul 2013	Other	27-1166216
Inc. Whitestone Captial Partners	Owner	1 Jul 2013	Other	27-1166216
Sonu S. Varghese	Director of research/co-portfolio manager of the mutual fund	1 Dec 2014	Other	6428691

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Brian Mcconnell	Owner	1 May 2013	75% - 100%	6208534
Chris Campbell	Owner	1 Jul 2013	75% - 100%	3119816
Christopher Andrew Campbell	Owner	1 Jul 2013	75% - 100%	3119816

Based in Warrenville

The principal office where Convex Capital Management LLC performs its advisory services is located at 4200 Cantera Drive, Warrenville, IL 60555, 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 630-791-9037 or by fax 630-791-9228. The normal business hours are 8:00 to 5:00 on Monday - Friday. You can find more information about the New York firm at convexcm.com.