Strategies LLC (Denver)

Name: Strategies LLC
Address: 1525 Raleigh Street, Denver, CO, 80204
Telephone: 303-926-9600

Strategies LLC is a large advisory firm based in Denver. It manages $471.72 million of regulatory assets for 42 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdiction of Colorado.

Strategies provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, pension consulting services, and employee education for retirement plan clientele, consulting. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Strategies: assets under management

The assets under management (AUM) of Strategies LLC is $471.72 million. The firm's AUM has grown by 16% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $113.45 million in discretionary accounts and $358.28 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $4.2 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $23.89 million.

Investments

The firm invests in investment and business development companies the most. They account for 83% of the total AUM. The second-largest asset type is exchange traded securities, which make up 17% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Strategies LLC for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Strategies serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, pooled investment vehicles, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Strategies is pension and profit sharing plans with 12 clients and $290.63 million of assets under management. Among the 12 most similar advisory firms, Strategies has the 3rd highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $471.72 million for 62 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.

Strategies doesn't advise any private funds.

Careers at Strategies LLC

The company employs 4 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 4 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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
David Martin Halseth	Managing member	1 Jun 1993	50% - 75%	2283697
Jonathan Walter Postal	Member	1 Oct 2006	Other	2877298
Megan Elizabeth Trapp	Chief compliance officer	1 Jan 2009	Other	5294538
Thomas Amedio Gonnella	Managing member - chief compliance officer	1 Dec 2012	50% - 75%	4129918

Based in Denver

The principal office where Strategies LLC performs its advisory services is located at 1525 Raleigh Street, Denver, CO 80204, 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 303-926-9600 or by fax 303-926-1613. The normal business hours are 9:00 - 5:00 on Monday - Friday. You can find more information about the New York firm at strategies-llc.net.