Anchor Bay Capital, Inc. (Carlsbad)

Name: Anchor Bay Capital, Inc.
Address: 5780 Fleet St., Carlsbad, CA, 92008
Telephone: 760-602-3470

Anchor Bay Capital, Inc. is a large advisory firm based in Carlsbad. It manages $92.5 million of regulatory assets for 131 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of California, Utah, and Washington.

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

Anchor Bay Capital: assets under management

The assets under management (AUM) of Anchor Bay Capital, Inc. is $92.5 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 37% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $92.5 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $706.07 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 48% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 28% of the firm’s portfolio. Investments in government bonds form 12% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Anchor Bay Capital, Inc. 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 Scott Spiering serves?

The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Scott Spiering is high net worth individuals with 16 clients and $57.76 million of assets under management. Among the 10 most similar advisory firms, Anchor Bay Capital has the 5th lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $92.5 million for 147 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Anchor Bay Capital doesn't advise any private funds.

Careers at Anchor Bay Capital, Inc.

The company employs 5 people that are either part- or full-time employees. 80 percent of the employees work as investment advisers or researchers. 5 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.

Scott Spiering has been acting as President since 1 Feb 1988. Matthew William Large joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Scott Spiering	President/chief investment officer	1 Feb 1988	75% - 100%	1828899
Scott Spiering	President	1 Mar 1997	75% - 100%	1828899
Brian Stewart Johnson	Chief compliance officer	1 Oct 2004	Other	4510220
Jonathan Lesley Chatfield	Cfo	1 Jun 2010	Other	2583511
Matthew William Large	Chief compliance officer	1 Jan 2016	Other	6251338

Based in Carlsbad

The principal office where Anchor Bay Capital, Inc. performs its advisory services is located at 5780 Fleet St., Carlsbad, CA 92008, which is also the mailing address of the firm. An additional office of the firm is in Tustin, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 760-602-3470 or by fax 760-602-7811. The normal business hours are 6:30 am to 4:30 pm on Monday - Friday. You can find more information about the New York firm at anchorbaycapital.com.