Cu Capital Market Solutions, LLC (Alpharetta)

Name: Cu Capital Market Solutions, LLC
Address: 6120 Windward Parkway, Alpharetta, GA, 30005
Telephone: 678-960-2902

Cu Capital Market Solutions, LLC is a large advisory firm based in Alpharetta. It manages $2.25 billion of regulatory assets for 7 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdictions of Georgia and Kansas.

Cu Capital Market Solutions provides portfolio management for businesses and institutional clients and asset & liability consulting. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Cu Capital Market Solutions: assets under management

The assets under management (AUM) of Cu Capital Market Solutions, LLC is $2.25 billion. The company doesn't manage any assets belonging to foreign clients.

Investments

The firm invests in government bonds the most. They account for 75% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 25% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Cu Capital Market Solutions, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed 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 Robert Charles Colvin serves?

The only and largest group of clients of Robert Charles Colvin is banking or thrift institutions with 7 clients and $2.25 billion of assets under management. Among the 10 most similar advisory firms, Cu Capital Market Solutions has the highest percentage of banking or thrift institutions out of all clients.

The amount of regulatory assets under management is $2.25 billion for 7 clients. None of the firm’s clients are foreign persons or businesses.

Cu Capital Market Solutions doesn't advise any private funds.

Careers at Cu Capital Market Solutions, LLC

The company employs 10 people that are either part- or full-time employees. 50 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 compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Robert Charles Colvin has been acting as President since 1 Jun 2016. Jefferson Financial Credit Union joined the executive team most recently as the Unit Holder.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Lewis Nelson Lester	Ceo	1 Jun 2016	25% - 50%	1773617
Robert Charles Colvin	President	1 Jun 2016	25% - 50%	823124
William Thayer Mullally	Member	1 Jun 2016	25% - 50%	1358944
Brent Eugene Hippert	Chief compliance officer	1 Jun 2016	Other	1067611
Jefferson Financial Credit Union	Unit holder	1 Jul 2016	Other	72-0649178

Based in Alpharetta

The principal office where Cu Capital Market Solutions, LLC performs its advisory services is located at 6120 Windward Parkway, Alpharetta, GA 30005, which is also the mailing address of the firm. An additional office of the firm is in Overland Park, AK. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 678-960-2902 or by fax 913-402-2635. The normal business hours are 9am to 5pm on Monday - Friday. You can find more information about the New York firm at cucmsllc.com.