The Travelers Investment Management Company (Stamford)


The Travelers Investment Management Company is a large advisory firm based in Stamford. It manages $5.19 billion of regulatory assets for 22 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of Connecticut.

The Travelers Investment Management Company provides portfolio management for investment companies and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

The Travelers Investment Management Company: assets under management

The assets under management (AUM) of The Travelers Investment Management Company is $5.19 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 12% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $5.19 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $236.02 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay The Travelers Investment Management Company 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.

Careers at The Travelers Investment Management Company

Heath Brian Mclendon has been acting as President since 1 Jan 1995. Gloria Groppo Williams joined the executive team most recently as the Director.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Sandip A Bhagat President, ceo and director 1 Jul 1993 Other 2375144
Sandip Arun Bhagat President, ceo and director 1 Jul 1993 Other 2375144
Heath Brian Mclendon Director 1 Jan 1995 Other 329444
Michael Joseph Day Treasurer 1 Jan 1995 Other 2344142
Michael Fred Rosenbaum Secretary 1 Jun 1996 Other 3183252
Salomon Smith Barney Holdings Inc. Shareholder 1 Nov 1997 75% - 100% 11-2418067
Citigroup Global Markets Holdings Inc. Shareholder 1 Nov 1997 75% - 100% 22-1660266
Thomas Wade Jones Director and chairman of the board 1 Jan 1998 Other 2012850
Virgil Howard Cumming Chief operating officer and director 1 Jan 1998 Other 1814619
Michael Even Director 1 Mar 2004 Other 2176724
Daniel Bukowski Interim head and director 1 Apr 2004 Other 2176724
Daniel Bukowski Interim head and director 1 Jul 2004 Other 2176724
Daniel Joseph Bukowski Interim head and director 1 Jul 2004 Other 2176724
Daniel Bradford Willey President, ceo and director 1 Sep 2004 Other 871998
Andrew Thomas Beagley Chief compliance officer 1 Oct 2004 Other 4606683
Daniel Joseph Bukowski Chairman of the board and director 1 Oct 2004 Other 2176724
Gloria Groppo Williams Director 1 Nov 2004 Other 2712949

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Citigroup Inc. Shareholder 1 Nov 1998 75% - 100% 52-1568099

Based in Stamford

The principal office where The Travelers Investment Management Company performs its advisory services is located at 100 First Stamford Place, Stamford, CT 06902, which is also the mailing address of the firm. An additional office of the firm is in Hartford, CT. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 203-961-4900 or by fax 203-961-4911. The normal business hours are 9:00am-5:00pm on Monday - Friday. You can find more information about the New York firm at www.ssbciti.com.