Eam Global Investors LLC (Cardiff By The Sea)

Name: Eam Global Investors LLC
Address: 2533 South Coast Highway 101, Cardiff By The Sea, CA, 92007
Telephone: 760-479-5080

Eam Global Investors LLC is a large advisory firm based in Cardiff By The Sea. It manages $781.42 million of regulatory assets for 14 client accounts. It has been registered with the SEC as an adviser since 2014 and has operated in the jurisdictions of California and Massachusetts.

Eam Global Investors provides portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Eam Global Investors: assets under management

The assets under management (AUM) of Eam Global Investors LLC is $781.42 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 30742% since the beginning of its operation, and $420.66 million of the total AUM is attributable to clients outside of the United States.

The firm manages $781.42 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $55.82 million each.

Eam Global Investors has custody of $98.8 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 94% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 6% of the firm’s portfolio.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Eam Global Investors LLC for their services and products based on a percentage of assets under management. 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 Eam Global Investors serves?

The firm provides services to charitable organizations and pooled investment vehicles. The largest group of clients of Eam Global Investors is pooled investment vehicles with 4 clients and $553.22 million of assets under management. Among the 11 most similar advisory firms, Eam Global Investors has the 5th highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $698.47 million for 12 clients. 14% of the firm’s clients are foreign persons or businesses.

Eam Global Investors also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at Eam Global Investors LLC

The company employs 17 people that are either part- or full-time employees. 71 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 2 people 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 Eam Investors	Manager/class a common unit holder	1 May 2014	25% - 50%	144908
Llc Waco Limited	Class a common unit holder	1 May 2014	25% - 50%	46-4549626
Montie Lee Weisenberger	Managing director, class a common unit holder	1 May 2014	Other	4246645
Travis Tyler Prentice	President, chief executive officer, managing director, class b common unit holder	1 May 2014	Other	3106625
Inc. Whv Investments	Preferred unit holder	1 May 2014	Other	107214
Derek John Gaertner	Chief compliance officer, chief operating officer, class a common unit holder	1 May 2014	Other	5073232
Frank Page Hurst	Managing director, class a common unit holder	1 May 2014	Other	3203693
Joshua Matthew Moss	Vice president, class b common unit holder	1 May 2014	Other	4217948
Llc Northern Lights Capital Partners	Preferred unit holder	1 May 2014	Other	20-5650492
Inc. Whv Investment Management	Preferred unit holder	1 May 2014	Other	107214
Llc Northern Lights Midco	Preferred unit holder	1 Jul 2014	Other	47-1407415

Indirect Owners

The SEC currently registers 18 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Llc Laird Norton Company	Shareholder	1 Apr 1994	50% - 75%	91-2027437
Byron Clarence Roth	Shareholder	1 Jan 2000	75% - 100%	1768553
Inc. Laird Norton Investment Management	Owner	1 Dec 2003	75% - 100%	91-1639191
Llc Laird Norton Company	Member	1 Aug 2006	50% - 75%	91-2027437
Northern Lights Capital Group	Manager	1 Oct 2006	Other	157976
Montie Lee Weisenberger	Managing member	1 Jul 2007	Other	4246645
Travis Tyler Prentice	Managing member	1 Jul 2007	Other	3106625
Inc. White Pine	Member	1 Dec 2007	25% - 50%	26-1630532
Llc Laird Norton Company	Shareholder	1 Dec 2007	75% - 100%	91-2027437
Llc Lnc Investment Co.	Member	1 May 2010	25% - 50%	20-5433626
Frank Page Hurst	Managing member	1 Jun 2011	Other	3203693
Llc Waco Limited	Member	1 Jan 2014	25% - 50%	46-4549626
Inc. Cr Financial Holdings	Member	1 Jan 2014	75% - 100%	33-0914744
Aurora Trust	Member	1 Nov 2014	75% - 100%	foreign
Aurora Investment Management Pty Limited	Trustee	1 Nov 2014	Other	acn 600 880 939
Treasury Group Limited	Unitholder	1 Nov 2014	50% - 75%	abn 39 006 708 792
Llc Northern Lights Capital Partners	Unitholder	1 Nov 2014	25% - 50%	20-5650492
Pacific Current Group	Unitholder	1 Nov 2014	50% - 75%	foreign

Based in Cardiff By The Sea

The principal office where Eam Global Investors LLC performs its advisory services is located at 2533 South Coast Highway 101, Cardiff By The Sea, CA 92007, 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 760-479-5080 or by fax 760-633-1431. The normal business hours are 6:00 am - 3:00 pm on Monday - Friday. You can find more information about the New York firm at eaminvestors.com.