Orion Investment Co (St Louis)

Name: Orion Investment Co
Address: 7800 Forsyth Ave, St Louis, MO, 63105
Telephone: 314-725-3800

Orion Investment Co is a large advisory firm based in St Louis. It manages $330.7 million of regulatory assets for 463 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Georgia, Illinois, and 3 other states.

Orion Investment provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Orion Investment: assets under management

The assets under management (AUM) of Orion Investment Co is $330.7 million. The firm's AUM has grown by 128% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $318.18 million in discretionary accounts and $12.52 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $711.81 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $782.32 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 64% of the total AUM. The second-largest asset type is government bonds, which make up 31% of the firm’s portfolio. Investments in cash and cash equivalents form 5% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Orion Investment Co for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Andrew Check Dazey serves?

The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Andrew Check Dazey is high net worth individuals with 278 clients and $305.93 million of assets under management. Among the 10 most similar advisory firms, Orion Investment has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $327.83 million for 459 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.

Orion Investment doesn't advise any private funds.

Careers at Orion Investment Co

The company employs 5 people that are either part- or full-time employees. 60 percent of the employees work as investment advisers or researchers. 3 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.

Andrew Check Dazey has been acting as President since 1 Jun 1987. Frederic George Sauer joined the executive team most recently as the Chief Compliance Officer/Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Fred Niesen Sauer	President/treasurer/director	1 Nov 1984	75% - 100%	1337452
Andrew Check Dazey	Secretary/vice president/director	1 Jun 1987	Other	1523036
Niesen J. S. #2 Joint Venture	Stockholder	1 Mar 1988	50% - 75%	43-0186620
Frederic George Sauer	Chief compliance officer/director	1 Oct 2004	Other	4825438

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Niesen Land Company	Partner	1 Mar 1988	25% - 50%	43-6029741
Dated 10/17/83 Julia M. Sauer Trust #2	Partner	1 Mar 1988	50% - 75%	43-6275892
Julia Moloney Sauer	Grantor	1 Mar 1988	75% - 100%	1965858
Dean Trust Sauer	Stockholder	1 Oct 1998	75% - 100%	43-6814392

Based in St Louis

The principal office where Orion Investment Co performs its advisory services is located at 7800 Forsyth Ave, St Louis, MO 63105, 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 314-725-3800 or by fax 314-725-3802. The normal business hours are 8:30 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at orioninvestmentco.com.