Arroyo Investment Group, LLC (Pasadena)

Name: Arroyo Investment Group, LLC
Address: 15 S. Raymond Avenue, Pasadena, CA, 91105
Telephone: 626-844-1441

Arroyo Investment Group, LLC is a related adviser based in Pasadena. It manages $150.07 million of regulatory assets for 812 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdiction of California.

Arroyo Investment Group provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Arroyo Investment Group: assets under management

The assets under management (AUM) of Arroyo Investment Group, LLC is $150.07 million. The firm's AUM has grown by 393% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $146.73 million in discretionary accounts and $3.34 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $186.92 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $123.75 thousand.

Arroyo Investment Group has custody of $35.2 million in cash and securities for 123 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 98% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 2% of the firm’s portfolio.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Arroyo Investment Group, 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 Arroyo Investment Group serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Arroyo Investment Group is high net worth individuals with 46 clients and $91.7 million of assets under management. Among the 6 most similar advisory firms, Arroyo Investment Group has the 3rd lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $150.07 million for 280 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.

Arroyo Investment Group doesn't advise any private funds.

Careers at Arroyo Investment Group, LLC

The company employs 5 people that are either part- or full-time employees. 60 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There are 2 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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
John Patrick Odell	Principal, chief compliance officer	1 Mar 2000	75% - 100%	1908737
Steven William Arnold	Principal	1 Mar 2000	50% - 75%	710802

Based in Pasadena

The principal office where Arroyo Investment Group, LLC performs its advisory services is located at 15 S. Raymond Avenue, Pasadena, CA 91105, 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 626-844-1441 or by fax 626-440-1319. 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 arroyoinvestmentgroup.com.