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Feb 10, 2020 — 10-year-old Midwest US-based RIA for sale. The RIA exists to run a Tech/Small Cap Growth-focused separately managed account (SMA) vehicle. Just over $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 December 31, 2019, this separately managed account portfolio had a trailing-10-year Sharpe ratio of 0.94 and an information ratio of 0.76 per Morningstar’s Separate Account database. The portfolio had a trailing-10-year alpha of 7.17 and beta of 1.06 versus the MSCI All Country World Index, as tracked by Morningstar’s Separate Account database.
Portfolio is fully seasoned. Extremely disciplined and repeatable process in use since year 2002. 50-stock portfolio from beginning. Long-only; no shorts, ETFs, derivatives or use of margin. Manager is 27-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 completed Section 8 & Section 15 renewals and notices of incontestability, respectively. All records available. Firm GIPS-verified in April 2012 and again in March 2016 (required for Morningstar rating).
Seller open to a variety of arrangements, including outright sale, sub-advisory relationship, distribution agreement or dual registration. Post-sale management arrangement negotiated separately. Manager can relocate to join acquiring or partner firm.