Meridian Capital Partners, Inc. (Albany)

Name: Meridian Capital Partners, Inc.
Address: 20 Corporate Woods Boulevard, Albany, NY, 12211 2396
Telephone: 518 432 1600

Meridian Capital Partners, Inc. is a large advisory firm based in Albany. It manages $282.1 million of regulatory assets for 12 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdiction of New York.

Meridian Capital Partners provides portfolio management for pooled investment vehicles and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Meridian Capital Partners: assets under management

The assets under management (AUM) of Meridian Capital Partners, Inc. is $282.1 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -87% since the beginning of its operation, and $65 million of the total AUM is attributable to clients outside of the United States.

The firm manages $282.1 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $23.51 million each.

Meridian Capital Partners has custody of $230.75 million in cash and securities for 9 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in pooled investment vehicles the most. They account for 82% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 11% of the firm’s portfolio. Investments in other assets form 7% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Meridian Capital Partners, Inc. for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients John Lawrence Sica serves?

The only and largest group of clients of John Lawrence Sica is pooled investment vehicles with 15 clients and $269 million of assets under management. Among the 6 most similar advisory firms, Meridian Capital Partners has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $269 million for 15 clients. 40% of the firm’s clients are foreign persons or businesses.

Meridian Capital Partners also advises several private funds. Namely, fifteen hedge funds. The minimum investment commitment required of non-related persons ranges from $0 to $1,000,000.

Careers at Meridian Capital Partners, Inc.

The company employs 9 people that are either part- or full-time employees. 33 percent of the employees work as investment advisers or researchers. No 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.

John Lawrence Sica has been acting as President since 1 Jan 2007. Kevin Charles Joseph joined the executive team most recently as the General Counsel & Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
William Henry Lawrence	Chief executive officer & chief investment officer	1 Oct 1996	75% - 100%	1453586
Donald James Halldin	President	1 Oct 1996	25% - 50%	1396468
John Lawrence Sica	Partner, director of research	1 Jan 2001	Other	4701091
William And Gloria Lawrence Family Llc	Member / meridian diversified fund management llc	1 Apr 2001	50% - 75%	14-1834084
Sica Family Llc	Member / meridian diversified fund management llc	1 Apr 2001	Other	14-1834083
Timothy Michael Hickey	Chief financial officer	1 Aug 2001	Other	4701093
Peter Murphy Brown	General counsel & secretary	1 Mar 2002	Other	4332859
James Patrick Nunan	Director of marketing and client service	1 Dec 2002	Other	4701746
Laura Katherine Smith	Managing director of operations	1 Jan 2003	Other	2770695
Robert Joseph Murphy	Senior vice president - research	1 Jan 2003	Other	1251111
Howard Barry Fischer	Senior vice president - research	1 Jan 2003	Other	4701181
Michael Thomas Dieschbourg	Managing director	1 Jul 2004	Other	1177925
John Lawrence Sica	President	1 Jan 2007	Other	4701091
Howard Barry Fischer	Partner & director of research	1 Jan 2007	Other	4701181
Robert Joseph Murphy	Partner - research	1 Jan 2007	Other	1251111
Peter Murphy Brown	Partner	1 Jan 2008	Other	4332859
Jonathan Patrick Whalen	Chief compliance officer	1 Jan 2008	Other	5501686
Eduardo Morales Deschapelles	Partner	1 Feb 2008	Other	1917004
Kevin Charles Joseph	General counsel & chief compliance officer	1 Nov 2010	Other	5868285

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
William Henry Lawrence	Member	1 Apr 2001	75% - 100%	1453586
John Lawrence Sica	Member	1 Apr 2001	50% - 75%	4701091
Heather Ann Sica	Member	1 Apr 2001	25% - 50%	5434699

Based in Albany

The principal office where Meridian Capital Partners, Inc. performs its advisory services is located at 20 Corporate Woods Boulevard, Albany, NY 12211 2396, 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 518 432 1600 or by fax 518 465 8680. The normal business hours are 8:00 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at mcphedge.com.