Babcock & Brown Investment Adviser LLC (San Francisco)

Name: Babcock & Brown Investment Adviser LLC
Address: 2 Harrison Street, 6 Th Floor, San Francisco, CA, 94105
Telephone: 415-512-1515

Babcock & Brown Investment Adviser LLC is a large advisory firm based in San Francisco. It manages $33.99 million of regulatory assets for 6 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of California.

Babcock & Brown Investment Adviser provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and pension consulting 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.

Babcock & Brown Investment Adviser: assets under management

The assets under management (AUM) of Babcock & Brown Investment Adviser LLC is $33.99 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $33.99 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $5.67 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Babcock & Brown Investment Adviser LLC for their services and products based on a percentage of assets under management, fixed fees, 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 Babcock & Brown Investment Adviser LLC

Steven John Dixon has been acting as President since 1 Dec 2003. Karen Ruth Fagerstrom joined the executive team most recently as the Vice President, Secretary.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Babcock & Brown Lp	Manager, member	1 Sep 2000	75% - 100%	94-3344364
David Greenclay Crane	President, treasurer	1 Sep 2000	Other	1208430
Ted Anthony Lachowicz	Vice president, secretary	1 Sep 2000	Other	1467098
Thomas George Mcgonagle	Vice president	1 May 2001	Other	1724824
Steven John Dixon	Vice president	1 Jun 2001	Other	4375517
Nancy Jean Hitchings	Vice president	1 Jun 2001	Other	1789493
Jan Blaustein Scholes	Vice president, secretary	1 Jul 2001	Other	1828843
James David Jaworski	Vice president, treasurer	1 Jul 2001	Other	1828839
Daniel Jacob Brickman	Vice president	1 Jul 2001	Other	4203477
Matthew Robert Eilers	Vice president	1 Jul 2001	Other	2122940
Judith Ann Hall	Vice president	1 Jul 2001	Other	4216982
Michael Alan Haynes	Vice president	1 Jul 2001	Other	2780093
Steven John Dixon	President	1 Dec 2003	Other	4375517
Daniel Jacob Brickman	President	1 Apr 2004	Other	4203477
Karen Ruth Fagerstrom	Vice president, secretary	1 Feb 2007	Other	4215951

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Babcock & Brown Holdings Inc.	Member	1 Sep 1999	75% - 100%	94-2994630
Babcock & Brown Gp Llc	General partner	1 Sep 1999	Other	94-2994630
Babcock & Brown International Pty Ltd	Shareholder	1 Oct 2004	75% - 100%	foreign
Babcock & Brown Limited	Shareholder	1 Oct 2004	50% - 75%	98-0429514

Based in San Francisco

The principal office where Babcock & Brown Investment Adviser LLC performs its advisory services is located at 2 Harrison Street, 6 Th Floor, San Francisco, CA 94105, 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 415-512-1515 or by fax 415-267-1500. The normal business hours are 8:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at www.babcockbrown.com.