DealStream Logo

No photo available

Details

May 7, 2013Nine-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 $100 million with same performance. The portfolio manager has run successful mutual funds with AUM > $500 million.

This Separately Managed Account vehicle had a 4 Star (out of 5) rating from Morningstar for Trailing 3-year, Trailing-5-Year and Overall periods, as of 9/30/17. Trailing-5-Year information ratio of 1.20 and Sharpe ratio of 1.61. As of 9/30/17, 19.83% annualized return (net of fees) would put it in the 14th percentile among Science and Technology mutual funds for trailing five years, per Lipper; would be in 1st percentile among Small Cap Growth mutual funds for trailing five years.

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 24-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. #1 ranked portfolio by Sharpe ratio and 1-year absolute return at Interactive Brokers Asset Management as of October 2017.

The PM has strong media profile; regularly quoted by US News & World Report, Forbes, TheStreet.com, Pensions & Investments etc.

Have laid low while building track record. Now time for marketing and distribution push. Federal trademark secured on firm and product names. 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.

Sign up today to learn more about this listing and others like it.

By clicking "Join Now - It's Free" you confirm that you accept the Terms of Use and Privacy Policy, including cookie use.