Gordon Asset Management, LLC (Durham)


Gordon Asset Management, LLC is a large advisory firm based in Durham. It manages $731.85 million of regulatory assets for 720 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Arizona, Louisiana, North Carolina, and 3 other states.

Gordon Asset Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, and selection of other advisers. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Gordon Asset Management: assets under management

The assets under management (AUM) of Gordon Asset Management, LLC is $731.85 million. The firm's AUM has grown by 240% since the beginning of its operation, and $622.96 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $675.27 million in discretionary accounts and $56.58 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.17 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $401.26 thousand.
Gordon Asset Management has custody of $68.17 million in cash and securities for 140 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 87% of the total AUM. The second-largest asset type is exchange traded securities, which make up 8% of the firm’s portfolio. Investments in cash and cash equivalents form 4% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Gordon Asset Management, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Joseph Michael Gordon serves?

The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Joseph Michael Gordon is pension and profit sharing plans with 86 clients and $547.09 million of assets under management. Among the 9 most similar advisory firms, Gordon Asset Management has the highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $724.94 million for 351 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Gordon Asset Management doesn't advise any private funds.

Careers at Gordon Asset Management, LLC

The company employs 8 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’s a single person 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.

Joseph Michael Gordon has been acting as President since 1 Jul 2001. Cdk Capital Corp. joined the executive team most recently as the Partner/Shareholder.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Joseph Michael Gordon President 1 Jul 2001 50% - 75% 706758
James Robert Stogner Executive vice-president 1 Jul 2001 Other 2872942
David Todd Misenheimer Partner 1 Jan 2006 25% - 50% 4475048
Russell Brenton Smith Partner 1 Dec 2007 Other 1682870
Deann Y Johnson Partner 1 Sep 2008 Other 5656884
Christian David Keedy Partner / chief compliance officer 1 Jan 2012 Other 4325571
Llc Guardian Capital Advisors Partner/shareholder 1 Jun 2015 Other 27-0418251
Cdk Capital Corp. Partner/shareholder 1 Jan 2017 Other 81-4720995
Asm Capital Corp. Partner/shareholder 1 Jan 2017 Other 81-4697920

Indirect Owners

The SEC currently registers 3 indirect owners.

Name Entity Date acquired Ownership Employer ID
Michael Jay Hensley Managing partner 1 Jun 2009 75% - 100% 4052660
David Todd Misenheimer President 1 Dec 2016 75% - 100% 4475048
Christian David Keedy President 1 Dec 2016 75% - 100% 4325571

Based in Durham

The principal office where Gordon Asset Management, LLC performs its advisory services is located at 1007 Slater Road, Durham, NC 27703, which is also the mailing address of the firm. An additional office of the firm is in Phoenix, AZ. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 919-313-6650 or by fax 919-313-6675. The normal business hours are 9:00 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at wealthqb.com and its LinkedIn profile.