Estancia Capital Management, LLC (Scottsdale)

Name: Estancia Capital Management, LLC
Address: 20865 N 90 Th Place, Scottsdale, AZ, 85255
Telephone: 480-448-5001

Estancia Capital Management, LLC is a large advisory firm based in Scottsdale. It manages $239.91 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of Arizona and Pennsylvania.

Estancia Capital Management provides 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.

Estancia Capital Management: assets under management

The assets under management (AUM) of Estancia Capital Management, LLC is $239.91 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 77% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $239.91 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $119.96 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Estancia Capital Management, 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.

What kind of clients Estancia Capital Management serves?

The only and largest group of clients of Estancia Capital Management is pooled investment vehicles with 2 clients and $239.91 million of assets under management. Among the 6 most similar advisory firms, Estancia Capital Management has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $239.91 million for 2 clients. None of the firm’s clients are foreign persons or businesses.

Estancia Capital Management also advises several private funds. Namely, three private equity funds. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at Estancia Capital Management, LLC

The company employs 8 people that are either part- or full-time employees. 75 percent of the employees work as investment advisers or researchers. No 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 doesn’t compensate 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
Llc Revolutionaries	Member	1 Jan 2012	50% - 75%	45-4089154
Llc Dak Equity	Member	1 Jan 2012	Other	45-4435239
Llc Orchard Hill	Member	1 Jan 2012	Other	45-4430721
Michael Casares Mendez	Managing director	1 Jan 2012	Other	2273279
Melissa Ann Jackson	Comptroller	1 Jan 2012	Other	6147699
Darrin Charles Jeffries	Chief compliance officer, chief operating officer, general counsel	1 Jan 2015	Other	6443104
Darrin Charles Jeffries	Chief compliance officer, chief operating officer, general counsel, managing director	1 Jan 2018	Other	6443104

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Michael Casares Mendez	Trustee	1 Dec 1992	Other	2273279
Cheryl Lynn Mendez	Trustee	1 Dec 1992	Other	6147164
Mendez Family Trust U/T/A	Owner	1 Dec 2011	75% - 100%	11-1111111
Danny Allan Kang	Sole owner	1 Jan 2012	75% - 100%	2680496
Takashi Bayard Moriuchi	Co-owner	1 Jan 2012	50% - 75%	2813291
Mey Yen Marie Moriuchi	Co-owner	1 Jan 2012	50% - 75%	6147165

Based in Scottsdale

The principal office where Estancia Capital Management, LLC performs its advisory services is located at 20865 N 90 Th Place, Scottsdale, AZ 85255, which is also the mailing address of the firm. An additional office of the firm is in Philadelphia, PA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 480-448-5001 or by fax 480-998-7103. The normal business hours are 8:00 am 5:00 pm on Monday - Friday. You can find more information about the New York firm at estanciapartners.com.