Crystal Rock Capital Management, LLC. (Bannockburn)

Name: Crystal Rock Capital Management, LLC.
Address: 2201 Waukegan Road, Bannockburn, IL, 60015
Telephone: 847-282-7010

Crystal Rock Capital Management, LLC. is a large advisory firm based in Bannockburn. It manages $133.33 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2012.

Crystal Rock Capital Management provides portfolio management for individuals and small businesses, 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.

Crystal Rock Capital Management: assets under management

The assets under management (AUM) of Crystal Rock Capital Management, LLC. is $133.33 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 32% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $133.33 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $66.67 million each.

Crystal Rock Capital Management has custody of $99.73 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 85% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 15% of the firm’s portfolio.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Crystal Rock Capital Management, 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 Crystal Rock Capital Management serves?

The only and largest group of clients of Crystal Rock Capital Management is pooled investment vehicles with 1 clients and $99.73 million of assets under management. Among the 9 most similar advisory firms, Crystal Rock Capital Management has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $99.73 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Crystal Rock Capital Management also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $300,000 for each fund.

Careers at Crystal Rock Capital Management, LLC.

The company employs 6 people that are either part- or full-time employees. 83 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
Jay Howard Freedman	Managing member, chief compliance officer	1 Apr 2005	50% - 75%	4221546
Joseph Clayton Shugart	Managing member	1 Apr 2006	25% - 50%	1012824

Based in Bannockburn

The principal office where Crystal Rock Capital Management, LLC. performs its advisory services is located at 2201 Waukegan Road, Bannockburn, IL 60015 The mailing address of the firm is 2201 Waukegan Road, Bannockburn, IL 60015. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 847-282-7010 or by fax 847-282-7020. The normal business hours are 8:00 - 5:00 on Monday - Friday. You can find more information about the New York firm at crystalrockcap.com.