Arbor Point Advisors, LLC (Lavista)

Arbor Point Advisors provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, and educational seminars and workshops. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

Arbor Point Advisors: assets under management

The assets under management (AUM) of Arbor Point Advisors, LLC is $2.14 billion. The firm's AUM has grown by 9530% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $2.13 billion in discretionary accounts and $10.04 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $145.77 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $125.47 thousand.

Arbor Point Advisors has custody of $2.11 billion in cash and securities for 8,688 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 73% of the total AUM. The second-largest asset type is exchange traded securities, which make up 13% of the firm’s portfolio. Investments in cash and cash equivalents form 11% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Arbor Point Advisors, LLC for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Commissions are paid and earned by the adviser when a trade or a sales of an investment is made. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients James Delwyn Nagengast serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of James Delwyn Nagengast is individuals with 7,336 clients and $1.19 billion of assets under management. Among the 7 most similar advisory firms, Arbor Point Advisors has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $2.14 billion for 8,933 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Arbor Point Advisors doesn't advise any private funds.

Careers at Arbor Point Advisors, LLC

The company employs 93 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 93 employees are registered as investment adviser representatives with the state securities authorities.

There are 6 people 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 receive compensation from other entities for client referrals.

James Delwyn Nagengast has been acting as President since 1 Dec 2012. Matthew John Kinsella joined the executive team most recently as the Vice President And Chief Compliance Officer, Aml Officer, Privacy Officer And Itpp Officer.

Direct owners and executive officers

Indirect Owners

The SEC currently registers 18 indirect owners.

Based in Lavista

The principal office where Arbor Point Advisors, LLC performs its advisory services is located at 12325 Port Grace Blvd., Lavista, NE 68128, which is also the mailing address of the firm. An additional office of the firm is in Eastland, TX. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 888-777-1992 or by fax 402-384-7575. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at arborpointadvisors.com.

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