Efg Asset Management (Americas) Corp. (Miami)

Name: Efg Asset Management (Americas) Corp.
Address: 701 Brickell Avenue, Miami, FL, 33131
Telephone: 305-482-8000

Efg Asset Management (Americas) Corp. is a large advisory firm based in Miami. It manages $1.41 billion of regulatory assets for 628 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of California, Connecticut, Delaware, and 9 other states.

Efg Asset Management (Americas) Corp provides portfolio management for individuals and small businesses 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.

Efg Asset Management (Americas) Corp: assets under management

The assets under management (AUM) of Efg Asset Management (Americas) Corp. is $1.41 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 178% since the beginning of its operation, and $1.33 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $1.41 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.25 million each.

Investments

The firm invests in investment and business development companies the most. They account for 47% of the total AUM. The second-largest asset type is exchange traded securities, which make up 23% of the firm’s portfolio. Investments in investment grade corporate bonds form 11% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Efg Asset Management (Americas) Corp. for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Hans Anton Abate serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Hans Anton Abate is high net worth individuals with 294 clients and $1.24 billion of assets under management. Among the 9 most similar advisory firms, Efg Asset Management (Americas) Corp has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $1.41 billion for 628 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 94% of the firm’s clients are foreign persons or businesses.

Efg Asset Management (Americas) Corp doesn't advise any private funds.

Careers at Efg Asset Management (Americas) Corp.

The company employs 14 people that are either part- or full-time employees. 57 percent of the employees work as investment advisers or researchers. 8 employees are registered as investment adviser representatives with the state securities authorities.

There are 10 people 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.

Hans Anton Abate has been acting as President since 1 Sep 2011. Eric Chih Chian Chuang joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Juan Carlos Massens	Coo	1 Sep 2011	Other	2802360
Hans Anton Abate	Director	1 Sep 2011	Other	4563511
Efg Asset Management Holding (Singapore) Pte Ltd	Parent company	1 Sep 2011	75% - 100%	foreign
James Tak Him Lee	Director	1 Sep 2011	Other	5982865
Mozamil Afzal	Director	1 Sep 2011	Other	6121630
Sixto Campano	Director	1 Sep 2011	Other	1567239
Efg Asset Management Pte Ltd Singapore	Parent company	1 Sep 2011	75% - 100%	foreign
Marco Alejandro Collazos	Chief compliance officer	1 Sep 2011	Other	4075044
Matias Andres Ringel	Director	1 Sep 2011	Other	2541131
Natalia Ava Napoleon	Chief compliance officer	1 Apr 2013	Other	5924824
Scott William Weyman	Chief executive officer	1 Jul 2013	Other	4494116
Marco A Tuesta	Chief financial officer	1 Feb 2014	Other	5720605
Arturo De La Espriella	Deputy coo	1 Feb 2014	Other	5066709
Sixto Campano	Chief executive officer	1 Jun 2015	Other	1567239
Michael D Schmidtke	Chief compliance officer	1 Jun 2015	Other	5356594
Arturo De La Espriella	Chief operations officer	1 Jul 2015	Other	5066709
Michael D Schmidtke	Chief operating officer	1 Oct 2016	Other	5356594
Eduardo Moliterno Da Cruz	Chief executive officer	1 Mar 2017	Other	5578693
Sixto Campano	Director	1 Aug 2017	Other	1567239
Eric Chih Chian Chuang	Chief compliance officer	1 Feb 2019	Other	3215724

Indirect Owners

The SEC currently registers 14 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Andre Santos Esteves	Shareholder	1 Jun 2009	25% - 50%	6167710
Bdd 2 Trust	Shareholder	1 Dec 2009	50% - 75%	foreign
Private Financial Holdings Limited	Parent	1 Dec 2009	75% - 100%	foreign
Efg European Financial Group Ltd	Parent	1 Dec 2009	75% - 100%	foreign
European Financial Group (Luxembourg) Sa	Parent	1 Dec 2009	75% - 100%	foreign
Efg Bank European Financial Group Sa	Parent	1 Dec 2009	25% - 50%	foreign
Efg International Ag	Parent	1 Sep 2011	75% - 100%	foreign
Efg Asset Management Holding Ag Zurich	Parent	1 Sep 2011	75% - 100%	foreign
Pactual G7 Holding S.A.	Shareholder	1 Dec 2011	50% - 75%	foreign
Btg Pactual Holdings S.A.	Shareholder	1 Dec 2012	75% - 100%	foreign
Btgp Bsi Limited (Uk)	Shareholder	1 Nov 2016	25% - 50%	foreign
Banco Btg Pactual S.A.	Shareholder	1 Nov 2016	75% - 100%	foreign
Roberto Balls Sallouti	Shareholder	1 Aug 2018	25% - 50%	7075834
Btg Pactual Holding Financeira Ltda	Partner	1 Oct 2018	75% - 100%	foreign

Based in Miami

The principal office where Efg Asset Management (Americas) Corp. performs its advisory services is located at 701 Brickell Avenue, Miami, FL 33131, which is also the mailing address of the firm. An additional office of the firm is in Portland, OR. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 305-482-8000 or by fax 305-482-8200. The normal business hours are 9am-5pm on Monday - Friday. You can find more information about the New York firm at efgcapital.com.