Rogerscasey, Inc. (Darien)


Rogerscasey, Inc. is a large advisory firm based in Darien. It manages $308.58 billion of regulatory assets for 118 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Arizona, Arkansas, California, and 30 other states.

Rogerscasey provides portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, and market timing 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.

Rogerscasey: assets under management

The assets under management (AUM) of Rogerscasey, Inc. is $308.58 billion. The firm's AUM has grown by 66982% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $9.63 billion in discretionary accounts and $298.95 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.2 billion each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $2.72 billion.
Rogerscasey has custody of $5.48 billion in cash and securities for 7 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rogerscasey, Inc. for their services and products based on a percentage of assets under management, hourly charges, subscription fees, and fixed 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 Rogerscasey, Inc.

Kevin Robert Greene has been acting as President since 1 Mar 2002. John Ferrara joined the executive team most recently as the Chief Compliance Officer, And Chief Operating Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Llc Capital Resource Holdings Shareholder 1 Mar 2002 75% - 100% 22-3677006
Cra Group Lp Shareholder 1 Mar 2002 50% - 75% 36-4183921
Kevin Robert Greene Chairman 1 Mar 2002 Other 1295699
Timothy Reed Barron President & chief executive officer 1 May 2004 Other 2885066
Alan Jay Resler Chief compliance officer, treasurer, chief financial officer and secretary 1 Sep 2004 Other 4939089
John Ferrara Chief compliance officer, and chief operating officer 1 Mar 2011 Other 5907184

Indirect Owners

The SEC currently registers 6 indirect owners.

Name Entity Date acquired Ownership Employer ID
Robert Charles Ammerman Managing member 1 Jan 1988 Other 4968100
Alexander Searle Mcgrath Managing member 1 Aug 1988 Other 1299829
Stephen Marshall Jenks Managing member 1 Nov 1993 Other 1474668
Llc Capital Resource Partners Iv General partner 1 Dec 1998 Other 04-3444655
L.P. Capital Resource Partners Iv Member 1 Mar 2002 25% - 50% 04-3444711
Capital Resource Partners Cra Investment Corp. Member 1 Mar 2002 75% - 100% 01-0662396

Based in Darien

The principal office where Rogerscasey, Inc. performs its advisory services is located at One Parklands Drive, Darien, CT 06820, which is also the mailing address of the firm. An additional office of the firm is in Atlanta, GA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 203-656-5900 or by fax 203-656-5192. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at www.rogerscasey.com.