Ccm Opportunistic Advisors, LLC (Houston)

Name: Ccm Opportunistic Advisors, LLC
Address: 520 Post Oak Blvd,, Houston, TX, 77027 1177
Telephone: (713) 243-3206

Ccm Opportunistic Advisors, LLC is a mid-sized advisory firm based in Houston. It manages $40.21 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of Texas.

Ccm Opportunistic Advisors provides portfolio management for pooled investment vehicles and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Ccm Opportunistic Advisors: assets under management

The assets under management (AUM) of Ccm Opportunistic Advisors, LLC is $40.21 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 428% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $40.21 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $40.21 million each.

Ccm Opportunistic Advisors has custody of $40.21 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ccm Opportunistic Advisors, LLC for their services and products based on a percentage of assets under management 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 Ccm Opportunistic Advisors serves?

The only and largest group of clients of Ccm Opportunistic Advisors is pooled investment vehicles with 1 clients and $40.21 million of assets under management. Among the 4 most similar advisory firms, Ccm Opportunistic Advisors has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $40.21 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Ccm Opportunistic Advisors also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at Ccm Opportunistic Advisors, LLC

The company employs 5 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 3 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 receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Alfred John Knapp	Managing partner	1 Dec 2010	25% - 50%	4295085
Sean Michael Nimmo	Managing director, chief compliance officer	1 Dec 2010	Other	4826911
Llc Ccm Strategic Partners	Member	1 Dec 2011	50% - 75%	45-4072187
Knapp Children's Trust	Member	1 Dec 2011	Other	76-6073234
Llc Eca Strategic Partners	Member	1 Dec 2011	50% - 75%	45-4072187
Knapp Children's Trust	Owner	1 Jan 2012	Other	76-6073234

Indirect Owners

The SEC currently registers 15 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
John Abbott Sprague	Elected manager/member	1 Dec 2011	Other	858710
Alfred John Knapp	Trustee	1 Dec 2011	Other	4295085
Christopher Lykes Knapp	Trustee	1 Dec 2011	Other	2594218
Sean Michael Nimmo	Elected manager/member	1 Dec 2011	Other	4826911
Robert Joseph Lloyd	Elected manager/member	1 Dec 2011	Other	4187061
Edwin Henry Frank Iii	Member	1 Dec 2011	25% - 50%	6014688
Lp Bauer Capital Partners	Member	1 Dec 2011	25% - 50%	02-0548245
Trude C. & Elizabeth S. Taylor Family Trust	Member	1 Dec 2011	25% - 50%	xxx-xx-xxxx
Trude Carl Taylor	Trustee	1 Dec 2011	Other	443533
Elizabeth Smith Taylor	Trustee	1 Dec 2011	Other	6032599
Charles Douglas Bauer	Limited partner	1 Dec 2011	75% - 100%	4647052
Bauer Capital Corporation	General partner	1 Dec 2011	Other	76-0693201
Dark River Trust	Limited partner	1 Dec 2011	50% - 75%	26-6158838
E H Frank	Owner	1 Dec 2011	25% - 50%	6014688
Taylor Family Trust	Owner	1 Dec 2011	25% - 50%	xxx-xx-xxxx

Based in Houston

The principal office where Ccm Opportunistic Advisors, LLC performs its advisory services is located at 520 Post Oak Blvd,, Houston, TX 77027 1177, 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 (713) 243-3206 or by fax (713) 583-2475. The normal business hours are 8:00 am - 5:00 pm (cst) on Monday - Friday. You can find more information about the New York firm at ccmgp.com/.