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Saguenay Capital, LLC (Purchase)


Saguenay Capital, LLC is a large advisory firm based in Purchase. It manages $623.24 million of regulatory assets for 13 client accounts. It has been registered with the SEC as an adviser since 2005.

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Saguenay Capital provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, 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.

Saguenay Capital: assets under management

The assets under management (AUM) of Saguenay Capital, LLC is $623.24 million. The firm's AUM has grown by 173% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $512.3 million in discretionary accounts and $110.94 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $102.46 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $13.87 million.
Saguenay Capital has custody of $39.62 million in cash and securities for 2 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Saguenay Capital, LLC 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.

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Brian Edward Walsh Shareholder 1 Sep 2011 25% - 50% 5075048

Based in Purchase

The principal office where Saguenay Capital, LLC performs its advisory services is located at 2 Manhattanville Rd., Purchase, NY 10577 2118, 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 914-729-2411 or by fax 914-729-2421. The normal business hours are 9 am - 5 pm on Monday - Friday. You can find more information about the New York firm at saguenaycap.com.


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