Woodbourne Investment Management LLC (Boulder)

Woodbourne Investment Management LLC is a large advisory firm based in Boulder. It manages $95.42 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdiction of Colorado.

Woodbourne Investment Management provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Woodbourne Investment Management: assets under management

The assets under management (AUM) of Woodbourne Investment Management LLC is $95.42 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -39% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $95.42 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $95.42 million each.

Woodbourne Investment Management has custody of $95.42 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Woodbourne Investment Management 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 Woodbourne Investment Management serves?

The only and largest group of clients of Woodbourne Investment Management is pooled investment vehicles with 1 clients and $95.42 million of assets under management. Among the 9 most similar advisory firms, Woodbourne Investment Management has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $95.42 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Woodbourne Investment Management also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $100,000 for each fund.

Careers at Woodbourne Investment Management LLC

The company employs 4 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. No 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 don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Heyman Family Interests Ltd	Member	1 Feb 2000	75% - 100%	84-1511875
Jeffrey D. Heyman	Manager	1 Feb 2000	Other	5071485
Wensinger Family Interests Ltd	Member	1 Feb 2000	50% - 75%	75-2835081
John G. Harding	Chief compliance officer	1 Feb 2000	Other	5072773
Michael L. Steinberg	Chief operations officer	1 Feb 2000	Other	5072778
Michael L. Steinberg	Chief compliance officer	1 Jan 2007	Other	5072778
Nicholas Joseph Rotello	Chief compliance officer	1 Oct 2010	Other	4220921
John G. Harding	Chief operating officer	1 Jan 2011	Other	5072773
Corinne Schneider Johnson	Chief compliance officer	1 Jun 2012	Other	5372770
Terrence Matthew Coghlan	Chief compliance officer	1 May 2016	Other	5148339
John G. Harding	Svp - asset management	1 Jan 2017	Other	5072773

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
John A. Wensinger	Partner	1 Jan 1999	50% - 75%	5072775
Terri Sue Wensinger	Partner	1 Jan 1999	50% - 75%	5072776
Jeffrey D. Heyman	Partner	1 Jul 1999	50% - 75%	5071485
Jane Mcconnell	Partner	1 Jul 1999	50% - 75%	5072783

Based in Boulder

The principal office where Woodbourne Investment Management LLC performs its advisory services is located at 1919 14 Th Street, Boulder, CO 80302, 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 303-413-1414. The normal business hours are 8:00 am to 5:00 pm mst on Monday - Friday.