Kayne Anderson Rudnick Investment Management, LLC (Los Angeles)


Kayne Anderson Rudnick Investment Management, LLC is a large advisory firm based in Los Angeles. It manages $22.82 billion of regulatory assets for 35,329 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Kayne Anderson Rudnick Investment Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

Kayne Anderson Rudnick Investment Management: assets under management

The assets under management (AUM) of Kayne Anderson Rudnick Investment Management, LLC is $22.82 billion. The firm's AUM has grown by 242% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $17.84 billion in discretionary accounts and $4.98 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.41 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $220.03 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 81% of the total AUM. The second-largest asset type is state and local bonds, which make up 10% of the firm’s portfolio. Investments in cash and cash equivalents form 7% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Kayne Anderson Rudnick Investment Management, 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 Allan Michael Rudnick serves?

The firm provides services to individuals, insurance companies, investment companies, 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 Allan Michael Rudnick is investment companies with 5 clients and $9.04 billion of assets under management. Among the 8 most similar advisory firms, Kayne Anderson Rudnick Investment Management has the 3rd highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $14.44 billion for 1,239 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Kayne Anderson Rudnick Investment Management doesn't advise any private funds.

Careers at Kayne Anderson Rudnick Investment Management, LLC

The company employs 88 people that are either part- or full-time employees. 19 percent of the employees work as investment advisers or researchers. 17 employees are registered as investment adviser representatives with the state securities authorities.

There are 7 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Allan Michael Rudnick has been acting as President since 1 Apr 2007. Michael Robert Shoemaker joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Paul Wayne Management committee member & chief research officer 1 Jun 1994 Other 1446072
Richard Alan Kayne Management committee co-chair & chief executive officer 1 Aug 1995 25% - 50% 265609
Allan Michael Rudnick Management committee co-chair, president & chief investment officer 1 Aug 1995 Other 1039295
John Edward Anderson Member 1 Aug 1995 Other 1482027
David Julius Shladovsky General counsel, chief compliance officer & secretary 1 Jan 1997 Other 2853905
Sheryl Lee Sadis Senior vice president of finance and controller 1 Sep 1999 Other 4027997
Ralph Collins Walter Management committee member, chief operating officer, chief financial officer & treasurer 1 Mar 2000 Other 849358
Ltd. Phoenix Investment Partners Majority owner 1 Jan 2002 50% - 75% 107481
William Ralph Moyer Management committee member 1 Jan 2002 Other 2137127
Nancy Jean Engberg Secretary & counsel 1 Jan 2002 Other 2952960
Kevin Dort Kisiel Compliance officer 1 Jul 2002 Other 2454272
Stephen Anthony Rigali Managing committee member & chief marketing officer 1 Sep 2003 Other 870258
Judith Madelon Ridder Chief compliance officer 1 Oct 2003 Other 4781074
Daniel Theodore Geraci Management committee member 1 Mar 2004 Other 708541
Robert Anthony Schwarzkopf Management committee member 1 Jan 2005 Other 717610
Ralph Collins Walter Vice chairman 1 May 2005 Other 849358
Ltd. Phoenix Investment Partners Direct owner 1 May 2005 75% - 100% 95-4191764
Inc. Virtus Partners Direct owner 1 Sep 2005 75% - 100% 06-1369527
Stephen Anthony Rigali Management committee member & executive managing director 1 Sep 2005 Other 870258
Jeannine Ghazar Vanian Chief operating officer 1 Sep 2005 Other 2877361
Richard Alan Kayne Founder 1 Sep 2005 Other 265609
Allan Michael Rudnick Management committee chair, chief executive officer, president & chief investment officer 1 Sep 2005 Other 1039295
Sheryl Lee Sadis Chief financial officer 1 Sep 2005 Other 4027997
George Robert Aylward Management committee member - ceo & president, virtus investment partners 1 Jan 2007 Other 4932163
George R. Aylward Management committee member 1 Jan 2007 Other 4932163
Allan Michael Rudnick Chairman 1 Apr 2007 Other 1039295
Robert Anthony Schwarzkopf Management committee member and chief investment officer 1 Apr 2007 Other 717610
Inc. Virtus Investment Partners Direct owner 1 Oct 2008 75% - 100% 95-4191764
Michael Aaron Angerthal Chief financial officer - virtus partners, inc. 1 Jan 2009 Other 5632934
Michael A Angerthal Chief financial officer - virtus partners, inc. 1 Jan 2009 Other 5632934
Mark Stephen Flynn General counsel - virtus investment partners 1 Jun 2011 Other 5941225
Douglas Stephen Foreman Management committee member and chief investment officer 1 Jan 2013 Other 4346618
Michael Robert Shoemaker Chief compliance officer 1 Sep 2019 Other 4802572
Wendy Jacqueline Hills Executive vice president, general counsel and secretary, virtus investment partners 1 Sep 2019 Other 3096057

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc. The Phoenix Companies Indirect owner 1 Jun 2001 50% - 75% 06-1599088
Phoenix Investment Management Company Indirect owner 1 Jun 2001 50% - 75% 06-1605029
Inc. The Phoenix Companies Indirect owner 1 Sep 2005 75% - 100% 06-1599088
Phoenix Investment Management Company Indirect owner 1 Sep 2005 75% - 100% 06-1605029
Inc Virtus Investment Partners Indirect owner 1 Dec 2008 75% - 100% 26-3962811

Based in Los Angeles

The principal office where Kayne Anderson Rudnick Investment Management, LLC performs its advisory services is located at 1800 Avenue Of The Stars, Los Angeles, CA 90067, which is also the mailing address of the firm. An additional office of the firm is in San Francisco, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 310-556-2721. The normal business hours are 7:00 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at kayne.com.