Hotchkis And Wiley Capital Management, LLC (Los Angeles)


Hotchkis And Wiley Capital Management, LLC is a large advisory firm based in Los Angeles. It manages $27.76 billion of regulatory assets for 97 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, Illinois, Massachusetts, and 4 other states.

Hotchkis And Wiley Capital Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and model portfolio provider. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Hotchkis And Wiley Capital Management: assets under management

The assets under management (AUM) of Hotchkis And Wiley Capital Management, LLC is $27.76 billion. The firm's AUM has grown by 563% since the beginning of its operation, and $1.89 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $27.61 billion in discretionary accounts and $147.32 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $287.63 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $147.32 million.
Hotchkis And Wiley Capital Management has custody of $78.3 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 80% of the total AUM. The second-largest asset type is non-investment grade corporate bonds, which make up 12% of the firm’s portfolio. Investments in derivatives form 5% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Hotchkis And Wiley Capital Management, 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.

What kind of clients Scott Hoy Mcbride serves?

The firm provides services to investment companies, charitable organizations, other investment advisers, pooled investment vehicles, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Scott Hoy Mcbride is investment companies with 17 clients and $16.78 billion of assets under management. Among the 7 most similar advisory firms, Hotchkis And Wiley Capital Management has the 2nd highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $27.68 billion for 80 clients. 9% of the firm’s clients are foreign persons or businesses.

Hotchkis And Wiley Capital Management 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 Hotchkis And Wiley Capital Management, LLC

The company employs 60 people that are either part- or full-time employees. 48 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives 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 compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Scott Hoy Mcbride has been acting as President since 1 Jan 2016. Harriet C Stephens joined the executive team most recently as the Trustee.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
George Holmes Davis Chief executive officer and executive committee member 1 Aug 2001 Other 2737237
Anna Marie Sinio Lopez Chief operating officer 1 Aug 2001 Other 4442085
Llc Stephens H&W Member 1 Aug 2001 25% - 50% 71-0861535
Llc Hwcap Holdings Member 1 Aug 2001 50% - 75% 95-4881542
Christopher Nigel Hurst Brown Executive committee member 1 Aug 2001 Other 5319239
Nancy Dauman Celick Chief operating officer 1 Aug 2001 Other 4442084
Kristin Elise Smith Chief financial officer 1 Aug 2001 Other 4442716
Warren Amerine Stephens Executive committee member 1 Aug 2001 Other 1033710
Douglas Howard Martin Executive committee member 1 Sep 2003 Other 724467
James Edward Menvielle Chief financial officer 1 May 2006 Other 4819536
Tina Hideko Kodama Chief compliance officer 1 Apr 2007 Other 4315225
Sheldon Jay Lieberman Executive committee member 1 Sep 2007 Other 2858990
Robert Seth Dochterman Chief marketing officer 1 Jan 2008 Other 1766233
Scott Hoy Mcbride President 1 Jan 2016 Other 2587546

Indirect Owners

The SEC currently registers 20 indirect owners.

Name Entity Date acquired Ownership Employer ID
Warren Amerine Stephens Trustee 1 Sep 1987 Other 1033710
Jackson Thomas Stephens Trustee 1 Jan 1988 75% - 100% 435307
J.T. Stephens Trust One U/I 12/11/1990 Shareholder common a 1 Jan 1988 25% - 50% xxx-xx-xxxx
Jackson Thomas Stephens Shareholder common a 1 Dec 1990 25% - 50% 435307
Bess Stephens Trust U/I 01/04/85 Shareholder common a 1 Feb 1993 25% - 50% 71-6152415
Bess Chism Stephens Trustee 1 Feb 1993 Other 2222188
Jackson Thomas Stephens Trustee 1 Feb 1993 Other 435307
Vernon Jacob Giss Trustee 1 Feb 1993 Other 222445
Bess Chism Stephens Trustee 1 Mar 1995 75% - 100% 2222188
J.T. Stephens Trust One Under Restatement 8/29/1996 Shareholder common a 1 Aug 1996 25% - 50% 73-6361224
Bess C. Stephens Revocable Trust U/I 03/02/1995 Shareholder common a 1 Jan 1997 25% - 50% xxx-xx-xxxx
Bess C. Stephens Revocable Trust U/D Dated 09/30/1987 Shareholder common a 1 Jan 1997 25% - 50% xxx-xx-xxxx
Inc.) Sf Holding Corp. (Formerly Stephens Group Member 1 Aug 2001 75% - 100% 71-0211822
Inc. Stephens Group Member 1 Aug 2001 75% - 100% 71-0211822
Warren A. Stephens Trust Uid 9/30/1987 Shareholder 1 Oct 2001 25% - 50% xxx-xx-xxxx
Warren A. Stephens Trustee 1 Aug 2005 75% - 100% 435307
Jon Eilif Mchale Jacoby Trustee 1 Aug 2005 Other 256687
Harriet C Stephens Trustee 1 Mar 2009 Other 6177018
Was Family Trust One Dated 3/31/2009 Shareholder 1 Mar 2009 25% - 50% xxx-xx-xxxx
Scott Hoy Mcbride Executive committee member 1 Oct 2016 Other 2587546

Based in Los Angeles

The principal office where Hotchkis And Wiley Capital Management, LLC performs its advisory services is located at 601 South Figueroa Street, Los Angeles, CA 90017 5704, which is also the mailing address of the firm. An additional office of the firm is in Corona Del Mar, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 213-430-1000 or by fax 213-430-1001. The normal business hours are 6:30 a.m. to 4:30 p.m. on Monday - Friday. You can find more information about the New York firm at hwcm.com.