Columbia Ridge Capital Management, Inc. (Johnson City)


Columbia Ridge Capital Management, Inc. is a large advisory firm based in Johnson City. It manages $143.3 million of regulatory assets for 585 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Alabama, Florida, New York, and 3 other states.

Columbia Ridge Capital Management provides financial planning services, portfolio management for individuals and small businesses, and pension consulting services. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Columbia Ridge Capital Management: assets under management

The assets under management (AUM) of Columbia Ridge Capital Management, Inc. is $143.3 million. The firm's AUM has grown by 183% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $103.9 million in discretionary accounts and $39.4 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $265.05 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $204.15 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 56% of the total AUM. The second-largest asset type is exchange traded securities, which make up 25% of the firm’s portfolio. Investments in cash and cash equivalents form 19% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Columbia Ridge Capital Management, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Columbia Ridge Capital Management serves?

The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Columbia Ridge Capital Management is high net worth individuals with 41 clients and $77.2 million of assets under management. Among the 13 most similar advisory firms, Columbia Ridge Capital Management has the 7th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $123.7 million for 199 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.

Columbia Ridge Capital Management doesn't advise any private funds.

Careers at Columbia Ridge Capital Management, Inc.

The company employs 10 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. 6 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.

Leona Ann Revoir joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Kenneth Dale Rosplock President,secretary,chief executive officer, chief compliance officer 1 Jul 2005 75% - 100% 1123339
Kathleen Ogozaly Bartlow Chief operations officer 1 Nov 2005 Other 1206217
Cynthia Robinson Rosplock Chief financial officer 1 Nov 2005 Other 5040832
Thomas Richard Gasper Vice-president, treasurer, chief investment officer 1 Nov 2005 25% - 50% 4648170
Brian Joseph Murphy Vp/compliance officer 1 Nov 2005 Other 1618217
Brian Joseph Murphy Chief compliance officer 1 Jan 2006 Other 1618217
Brian Joseph Murphy Compliance officer 1 Mar 2009 Other 1618217
Leona Ann Revoir Chief compliance officer 1 Dec 2016 Other 2614611
N.A. Nbt Bank Owner 1 Dec 2016 75% - 100% 16-1268674
Brian A. Voss Chief executive officer 1 Dec 2016 Other 16-1268674
Leona Ann Hoag Chief compliance officer 1 Dec 2016 Other 2614611
Brian Andrew Voss Chief executive officer 1 Dec 2016 Other 2928203

Based in Johnson City

The principal office where Columbia Ridge Capital Management, Inc. performs its advisory services is located at 520 Columbia Drive, Johnson City, NY 13790 3330, which is also the mailing address of the firm. An additional office of the firm is in Spanish Fort, AL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 607-584-4141 or by fax 607-584-4149. The normal business hours are 8:30 am - 4:30 pm on Monday - Friday. You can find more information about the New York firm at columbiaridgecm.com.