Courtland Partners, Ltd. (Cleveland)


Courtland Partners, Ltd. is a large advisory firm based in Cleveland. It manages $68.91 billion of regulatory assets for 37 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdictions of California and Ohio.

Courtland Partners provides portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, and qualified professional asset manager ("qpam"). It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Courtland Partners: assets under management

The assets under management (AUM) of Courtland Partners, Ltd. is $68.91 billion. The firm's AUM has grown by 70% since the beginning of its operation, and $763.38 million of the total AUM is attributable to clients outside of the United States.

The firm manages $1.8 billion in discretionary accounts and $67.11 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $149.73 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $2.68 billion.
Courtland Partners has custody of $269.7 million in cash and securities for 3 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in other assets the most. They account for 99% of the total AUM. The second-largest asset type is pooled investment vehicles, which make up 1% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Courtland Partners, Ltd. 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 Courtland Partners serves?

The firm provides services to investment companies, pooled investment vehicles, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Courtland Partners is state or municipal government entities with 15 clients and $64.57 billion of assets under management. Among the 10 most similar advisory firms, Courtland Partners has the 2nd highest percentage of state or municipal government entities out of all clients.

The amount of regulatory assets under management is $67.08 billion for 31 clients. 2% of the firm’s clients are foreign persons or businesses.

Courtland Partners also advises several private funds. Namely, three other private funds. The minimum investment commitment required of non-related persons is $2,000,000 for each fund.

Careers at Courtland Partners, Ltd.

The company employs 26 people that are either part- or full-time employees. 85 percent of the employees work as investment advisers or researchers. No 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
Patricia Ann Kleve Controller 1 Oct 2004 Other 4976238
Michael John Humphrey Managing principal 1 Jan 2005 Other 4390827
Steven Charles Novick Principal / coo 1 Jan 2005 Other 4342924
Ltd. Eaton Capital Group Member 1 Dec 2005 75% - 100% 34-1954579
Benjamin Franklin Blakney Managing director 1 Sep 2006 Other 2217758
Pru Corporation Member 1 Dec 2006 Other 20-8100720
Daniel A. Wolnik Chief financial officer 1 Feb 2008 Other 5655605
Charles Robert Manak General counsel & chief compliance officer 1 May 2008 Other 5655608
William John Foster Managing director 1 Dec 2009 Other 2928818
John F. Novatney Managing director 1 Mar 2013 Other 6313519
Charles Robert Manak Anti-money laundering compliance officer and general counsel 1 Sep 2015 Other 5655608
Zachary Grant Brown Chief compliance officer and senior analyst 1 Sep 2015 Other 6532925
Courtland Eppv 2016 Lp Member 1 Sep 2015 25% - 50% 821869498
Charles Robert Manak Chief compliance officer, anti-money laundering compliance officer and general counsel 1 Jun 2016 Other 5655608
Steven Charles Novick Managing principal / coo and member 1 Nov 2016 Other 4342924
Courtland Eppv 2016 Lp Member 1 Sep 2017 25% - 50% 821869498

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Michael John Humphrey Member 1 Dec 2005 75% - 100% 4390827
Michael John Humphrey Shareholder 1 Dec 2006 75% - 100% 4390827
Joanne Mary Humphrey Executor of the estate of michael john humphrey as sole member 1 Nov 2016 75% - 100% 6745566
Joanne M Humphrey Sole member 1 Nov 2016 75% - 100% 6745566
Pru Corporation General partner 1 Jan 2017 Other 20-8100720

Based in Cleveland

The principal office where Courtland Partners, Ltd. performs its advisory services is located at 127 Public Square, Cleveland, OH 44114 1246, which is also the mailing address of the firm. An additional office of the firm is in Los Angeles, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 216-522-0330 or by fax 216-522-0331. The normal business hours are 9:00 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at courtland.com.