Alex. Brown Investment Management, L L C (Baltimore)

Name: Alex. Brown Investment Management, L L C
Address: 901 South Bond Street, Baltimore, MD, 21231 3340
Telephone: 410-537-5400

Alex. Brown Investment Management, L L C is a large advisory firm based in Baltimore. It manages $2.58 billion of regulatory assets for 222 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of Maryland, Massachusetts, New Hampshire, and New York.

Alex. Brown Investment Management, L L C provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and 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.

Alex. Brown Investment Management, L L C: assets under management

The assets under management (AUM) of Alex. Brown Investment Management, L L C is $2.58 billion. The firm's AUM has gone down by -68% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $2.5 billion in discretionary accounts and $80.81 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $12.93 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $2.79 million.

Alex. Brown Investment Management, L L C has custody of $6 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 Alex. Brown Investment Management, L L C for their services and products based on a percentage of assets under management and fixed 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 Alex. Brown Investment Management, L L C

James Dorsey Brown has been acting as President since 1 Dec 2004. Brett David Rogers joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Nancy Inter Denney	Chief compliance officer	1 Jul 2004	Other	1655412
James Dorsey Brown	Director	1 Dec 2004	Other	32447
Robert Hutchings Vernon	Director	1 Dec 2004	Other	1500769
Bruce Edwin Behrens	Director/co-president	1 Dec 2004	25% - 50%	4346192
Hobart Charles Buppert	Director	1 Dec 2004	25% - 50%	4346189
Lee Scott Owen	Director/co-president	1 Dec 2004	25% - 50%	4346194
David Michael Churchill	Treasurer & chief financial officer	1 Jul 2008	Other	2094155
Michael D Hankin	President & chief executive officer	1 Jul 2008	Other	2339625
Llc Brown Advisory Management	Sole owner & managing member	1 Jul 2008	75% - 100%	w12634572
Brett David Rogers	Chief compliance officer	1 Apr 2010	Other	4641164

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Hobart Charles Buppert	Company membership interest	1 Jul 2008	25% - 50%	4346189
Bruce Edwin Behrens	Company membership interest	1 Jul 2008	25% - 50%	4346192
Lee Scott Owen	Company membership interest	1 Jul 2008	25% - 50%	4346194
Brown Advisory Holdings Incorporated	Subsidiary	1 Jul 2008	25% - 50%	52-2112409
Lp Abs Capital V	Member	1 Oct 2008	50% - 75%	68-0606080

Based in Baltimore

The principal office where Alex. Brown Investment Management, L L C performs its advisory services is located at 901 South Bond Street, Baltimore, MD 21231 3340, which is also the mailing address of the firm. An additional office of the firm is in Boston, MA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 410-537-5400 or by fax 410-537-6486. 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 www.abimltd.com.