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May 7, 2013 — 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.
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, [ external link ], Pensions & Investments 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.