Eley Financial Management, Inc. (South Burlington)

Name: Eley Financial Management, Inc.
Address: 99 Swift Street, South Burlington, VT, 05403 7360
Telephone: 802-863-4463

Eley Financial Management, Inc. is a large advisory firm based in South Burlington. It manages $231.08 million of regulatory assets for 1,332 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Arizona, California, Colorado, and 9 other states.

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

Eley Financial Management: assets under management

The assets under management (AUM) of Eley Financial Management, Inc. is $231.08 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 122% since the beginning of its operation, and $151.9 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $231.08 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $173.48 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 59% of the total AUM. The second-largest asset type is investment and business development companies, which make up 33% of the firm’s portfolio. Investments in cash and cash equivalents form 3% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Eley Financial Management, Inc. 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 Sarah Kathryn Eley serves?

The firm provides services to individuals, charitable organizations, and high net worth individuals. The largest group of clients of Sarah Kathryn Eley is high net worth individuals with 56 clients and $122.91 million of assets under management. Among the 9 most similar advisory firms, Eley Financial Management has the 3rd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $227.77 million for 557 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.

Eley Financial Management doesn't advise any private funds.

Careers at Eley Financial Management, Inc.

The company employs 4 people that are either part- or full-time employees. 100 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.

Sarah Kathryn Eley has been acting as President since 1 Jan 2001. Andrew David Murphy joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Gary Wayne Eley	President, inv. comm. member, director	1 May 1989	75% - 100%	2471228
Sidney Louise Eley	Secretary, treasurer, director	1 May 1989	Other	4346210
Sarah Kathryn Eley	Director	1 Jan 2001	Other	4471364
Joseph Matthew Diebold	President, portfolio manager, investment committee member	1 Aug 2001	50% - 75%	2541809
Rene Ann Pochop	Vice president, portfolio manager, investment committee member; chief compliance officer (01/2005)	1 Aug 2001	Other	2541810
Sarah Himes	Chief compliance officer	1 Aug 2006	Other	5210180
Matthew Ames Malaney	Secretary, portfolio manager and investment committee member	1 May 2007	50% - 75%	2088303
Andrew David Murphy	Chief compliance officer	1 Aug 2011	Other	5120251

Based in South Burlington

The principal office where Eley Financial Management, Inc. performs its advisory services is located at 99 Swift Street, South Burlington, VT 05403 7360, 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 802-863-4463 or by fax 802-864-0949. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at eleyfinancialmanagement.com.