Paul Capital Investments LLC (San Francisco)


Paul Capital Investments LLC is a large advisory firm based in San Francisco. It manages $1.95 billion of regulatory assets for 11 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of California, Delaware, and New York.

Paul Capital Investments provides market timing 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.

Paul Capital Investments: assets under management

The assets under management (AUM) of Paul Capital Investments LLC is $1.95 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 76% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.95 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $177.13 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Paul Capital Investments 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.

Careers at Paul Capital Investments LLC

John C Morrissey has been acting as President since 1 Apr 2011. Philip S Paul joined the executive team most recently as the Chairman, Director & Member (Common Class).

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Inc. Biip Member (class a) 1 Jun 2006 50% - 75% 20-3818887
Llc Paul Capital Advisors Member (class b) 1 Jun 2006 25% - 50% 20-0846452
Philip S Paul Manager, member (class c), and chairman 1 Jun 2006 Other 4362440
David Arthur York Manager, member (class c), and ceo 1 Jun 2006 Other 1303720
Walter Flamenbaum Manager 1 Jun 2006 Other 4363193
David H De Weese Manager 1 Jun 2006 Other 4363192
Denis Patrick Donovan Manager 1 Jun 2006 Other 5005047
Michael John Grealy Manager 1 Jun 2006 Other 5008032
Carroll H Archibald Chief compliance officer 1 Jan 2007 Other 4363194
Philip J Jensen Chief financial officer 1 Jan 2007 Other 4521294
Mick Patrick Sweeney Manager 1 Feb 2009 Other 5256450
Bernard Hoey Manager 1 Dec 2009 Other 5775276
Simon Guenzl Chief compliance officer 1 Mar 2010 Other 2483612
James Daniel Townsend Chief compliance officer 1 Mar 2011 Other 5907774
Philip S Paul Chairman, director & member (common class) 1 Apr 2011 25% - 50% 4362440
David Arthur York Ceo, director & member (common class) 1 Apr 2011 25% - 50% 1303720
James Daniel Townsend Chief compliance officer, member (common class) 1 Apr 2011 Other 5907774
Lisa Marie Edgar Director, member (common class) 1 Apr 2011 Other 4095768
John C Morrissey Director 1 Apr 2011 Other 5914423
Robert James Eu Director 1 Apr 2011 Other 3149075
Llc Shea Ventures Opportunity Fund B Member (preferred class) 1 Apr 2011 50% - 75% 27-2348895
Llc Hambrecht Eu Vista Member (preferred class) 1 Apr 2011 Other 27-4633044

Indirect Owners

The SEC currently registers 27 indirect owners.

Name Entity Date acquired Ownership Employer ID
The Governor And Company Of The Bank Of Ireland Shareholder 1 Jan 1982 75% - 100% 13-2687269
Inc. Shea Diversified Investments Trust 1 May 2001 25% - 50% 22-3820615
John F Shea Director 1 May 2001 Other 5914878
Peter O Shea Director 1 May 2001 Other 5914880
John C Morrissey Managing director 1 Feb 2004 Other 5914423
David H De Weese Manager, member 1 Sep 2004 Other 4363192
Walter Flamenbaum Manager, member 1 Sep 2004 Other 4363193
Philip J Jensen Manager, member 1 Sep 2004 Other 4521294
Lionel Leventhal Manager, member 1 Sep 2004 Other 1383612
Bryon T Sheets Manager, member 1 Sep 2004 Other 4363190
Guy Rico Manager, member 1 Sep 2004 Other 4777629
Bancireland (Us) Holdings Inc. Shareholder 1 Feb 2006 75% - 100% 02-0487434
Biam Holdings Shareholder 1 Oct 2006 75% - 100% foreign
E&M Shea Revocable Trust Director 1 Apr 2009 Other 1479274
Mary S Shea Trustee 1 Apr 2009 Other 2606377
John C Morrissey Successor trustee 1 Apr 2009 Other 5914423
Lp Shea Ventures Opportunity Fund Member 1 Mar 2010 75% - 100% 27-2348895
Lp Svo Gp Managing member 1 Mar 2010 75% - 100% 27-2348836
Llc Svo Gp General partner 1 Mar 2010 75% - 100% 27-2348753
Llc Shea Ventures Member 1 Mar 2010 50% - 75% 95-4735343
Kevin Dunlap Managing member 1 Mar 2010 Other 5914858
Jason Schoettler Managing member 1 Mar 2010 Other 5914860
Elizabeth Boyer Hambrecht Manager 1 Jan 2011 Other 2271772
Sean Charles Warren Manager 1 Jan 2011 Other 4310559
Robert James Eu Member 1 Jan 2011 25% - 50% 3149075
Andrew Douglas Eu Member 1 Jan 2011 25% - 50% 4352318
Anne Eu Warren Member 1 Jan 2011 25% - 50% 5915017

Based in San Francisco

The principal office where Paul Capital Investments LLC performs its advisory services is located at 50 California St., San Francisco, CA 94111, which is also the mailing address of the firm. An additional office of the firm is in Newport Beach, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 415-283-4300 or by fax 415-283-4301. The normal business hours are 8:00a to 5:00p on Monday - Friday. You can find more information about the New York firm at www.paulcap.com.