Neosho Capital LLC (La Jolla)

Name: Neosho Capital LLC
Address: 4250 Executive Square, La Jolla, CA, 92037
Telephone: 858 657 9040

Neosho Capital LLC is a large advisory firm based in La Jolla. It manages $183.53 million of regulatory assets for 75 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of California and Texas.

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

Neosho Capital: assets under management

The assets under management (AUM) of Neosho Capital LLC is $183.53 million. The firm's AUM has grown by 481% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $177.1 million in discretionary accounts and $6.43 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.05 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $378.24 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 95% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 5% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Neosho Capital LLC for their services and products based on a percentage of assets under management 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 Neosho Capital serves?

The firm provides services to individuals, high net worth individuals, and corporations or other businesses. The largest group of clients of Neosho Capital is individuals with 28 clients and $81.25 million of assets under management. Among the 12 most similar advisory firms, Neosho Capital has the 3rd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $183.53 million for 46 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.

Neosho Capital doesn't advise any private funds.

Careers at Neosho Capital LLC

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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Christopher Keith Richey	Manager	1 Feb 2004	75% - 100%	2839603
Christopher Keith Richey	Cco, manager, member, membership class-1, as trustee of browne-richey family trust dated october 5, 1999	1 Apr 2004	75% - 100%	2839603
Christopher Keith Richey	Manager/chief compliance officer	1 Oct 2004	75% - 100%	2839603
Christopher Keith Richey	Manager, member, membership class-2, as trustee of browne-richey family trust dated october 5, 1999	1 Aug 2013	25% - 50%	2839603
John Anthony Waldichuk	Manager, member, membership class2, as trustee of anthony and cynthia waldichuk 2007 trust	1 Aug 2013	25% - 50%	2406912
Alphonse Ignatius Chan	Manager, member, membership class-2, as trustee of chan/huang revocable trust uad february 28, 2002	1 Aug 2013	25% - 50%	2577321
Robert Kyungwon Choi	Manager, member, membership class-2	1 Jan 2016	25% - 50%	1551781
Vincent Griarte Pandes	Manager, member, membership class-2	1 Jan 2016	25% - 50%	2776566

Based in La Jolla

The principal office where Neosho Capital LLC performs its advisory services is located at 4250 Executive Square, La Jolla, CA 92037, 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 858 657 9040 or by fax 858 657 9041. The normal business hours are 9am to 5pm pst on Monday - Friday. You can find more information about the New York firm at neoshocapital.com.