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13-year-old Midwest US-based RIA for sale. The RIA exists to run Tech/Small Cap Growth-focused separately managed account (SMA) vehicles. Just over $2.5m in AUM now but capacity for $150 million with same performance. The portfolio manager has run successful mutual funds with AUM > $500 million.

As of June 30, 2022, the Tech portfolio had a trailing-10-year Sharpe ratio of 0.82 and an information ratio of 0.59 per Morningstar’s Separate Account database. It had an "Overall" Morningstar rating of three stars (out of five). The Small Cap Growth portfolio had a trailing-5-year Sharpe ratio of 0.56 and an information ratio of -0.04. It had an "Overall" Morningstar rating of four stars (out of five). The Tech portfolio's absolute, gross-of-fees annualized return since inception (March 31, 2009) through June 30, 2022 was 18.26%. The Small Cap Growth portfolio's absolute, gross-of-fees annualized return since inception (November 30, 2014) through June 30, 2022 was 10.10%.

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Portfolio is fully seasoned. Extremely disciplined and repeatable process in use since year 2002. 50-stock portfolio (Tech) from inception. Long-only; no shorts, ETFs, derivatives or use of margin. Manager is 28-year money management vet. Wall Street Journal Category King in Small Cap Growth in 2006. Pensions & Investments Top Performing Manager for year ending 9/30/17.

The PM has strong media profile; regularly quoted by US News & World Report, Forbes, [ external link ], Pensions & Investments, Kiplinger's etc.

Federal trademarks secured on firm and product names; have already received Notice of Acceptance and Renewal under USPTO Sections 8 & 9 for both trademarks. All records available. Firm GIPS-verified in April 2012 and again in March 2016.

Seller open to a variety of arrangements, including outright sale, sub-advisory relationship, distribution agreement or dual registration. Post-transaction management arrangement negotiated separately. Manager can relocate to join acquiring or partner firm.

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Disclaimer: DealStream has not independently verified any of the information in this listing and makes no warranty as to its accuracy or completeness. This listing does not constitute an offer to sell, solicit or make an offer to buy an investment interest. Offers to sell, or the solicitation of offers to buy, any security can only be made through official offering documents, such as a subscription agreement and private placement memorandum.