East Coast Asset Management, LLC (Essex)


East Coast Asset Management, LLC is a large advisory firm based in Essex. It manages $459.24 million of regulatory assets for 386 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdictions of California, Colorado, Delaware, and 6 other states.

East Coast Asset Management provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, selection of other advisers, and educational seminars and workshops. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

East Coast Asset Management: assets under management

The assets under management (AUM) of East Coast Asset Management, LLC is $459.24 million. The firm's AUM has grown by 247% since the beginning of its operation, and $3.61 million of the total AUM is attributable to clients outside of the United States.

The firm manages $451.72 million in discretionary accounts and $7.52 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.23 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $395.58 thousand.
East Coast Asset Management has custody of $54.77 million in cash and securities for 49 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 79% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 13% of the firm’s portfolio. Investments in investment and business development companies form 4% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay East Coast Asset Management, LLC for their services and products based on a percentage of assets under management and performance-based fees. 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 East Coast Asset Management serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of East Coast Asset Management is high net worth individuals with 112 clients and $199.23 million of assets under management. Among the 13 most similar advisory firms, East Coast Asset Management has the 7th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $232.46 million for 219 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.

East Coast Asset Management doesn't advise any private funds.

Careers at East Coast Asset Management, LLC

The company employs 9 people that are either part- or full-time employees. 56 percent of the employees work as investment advisers or researchers. 5 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
Christopher Matthew Begg Managing member 1 Jul 2011 50% - 75% 4688183
Benjamin Steven Favazza Managing member 1 Jul 2011 25% - 50% 2172908
Robert Byron Murphy Member 1 Jul 2011 Other 5772740
Michael Charles Kozak Member/chief compliance officer 1 Jul 2011 Other 4181027
Gary Douglas Pomerantz Member 1 Jul 2011 Other 4757495
Christopher M Begg Managing member/chief compliance officer 1 Jul 2011 50% - 75% 4688183
Gary D. Pomerantz Principal 1 Jul 2011 Other 4757495
John Casimir Slupski Member 1 Jun 2012 Other 4525266
David Wayne Lemons Member 1 May 2014 Other 2186961

Based in Essex

The principal office where East Coast Asset Management, LLC performs its advisory services is located at 16 Martin Street, Essex, MA 01929 The mailing address of the firm is Po Box 566, Essex, MA 01929. An additional office of the firm is in Boston, MA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 978-801-0860 or by fax 978-801-3111. The normal business hours are 9am - 5pm on Monday - Friday. You can find more information about the New York firm at eastcoastasset.com.