Snowden Capital Advisors LLC (New York)


Snowden Capital Advisors LLC is a large advisory firm based in New York. It manages $1.92 billion of regulatory assets for 4,734 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdictions of Arizona, California, Colorado, and 29 other states.

Snowden Capital Advisors provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, and educational seminars and workshops. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

Snowden Capital Advisors: assets under management

The assets under management (AUM) of Snowden Capital Advisors LLC is $1.92 billion. The firm's AUM has grown by 5994% since the beginning of its operation, and $79.28 million of the total AUM is attributable to clients outside of the United States.

The firm manages $1.35 billion in discretionary accounts and $566.03 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $356.81 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $602.16 thousand.
Snowden Capital Advisors has custody of $275 million in cash and securities for 375 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 40% of the total AUM. The second-largest asset type is exchange traded securities, which make up 31% of the firm’s portfolio. Investments in state and local bonds form 11% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Snowden Capital Advisors LLC for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Gregory Creech Franks serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Gregory Creech Franks is high net worth individuals with 1,662 clients and $1.59 billion of assets under management. Among the 12 most similar advisory firms, Snowden Capital Advisors has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $1.92 billion for 2,894 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 6% of the firm’s clients are foreign persons or businesses.

Snowden Capital Advisors doesn't advise any private funds.

Careers at Snowden Capital Advisors LLC

The company employs 71 people that are either part- or full-time employees. 79 percent of the employees work as investment advisers or researchers. 56 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 compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Gregory Creech Franks has been acting as President since 1 Jul 2012. Richard Lee West joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Robert James Mooney Chief executive officer 1 Apr 2011 Other 4085030
Snowden Capital Partners Llc Managing member 1 Apr 2011 75% - 100% 45-0997570
John Andrew Sims Chief financial officer 1 May 2011 Other 5668831
John Logan Morris Managing member 1 May 2011 50% - 75% 1061207
Cynthia Lauren Mullock Chief legal officer 1 May 2011 Other 5785734
Gregory Creech Franks President 1 Jul 2012 Other 1138171
Christopher Louis Lappas Chief operations officer 1 Nov 2012 Other 2140189
Cynthia Lauren Mullock General counsel & chief compliance officer 1 Mar 2013 Other 5785734
Richard Lee West Chief compliance officer 1 Jan 2016 Other 4470264

Indirect Owners

The SEC currently registers 6 indirect owners.

Name Entity Date acquired Ownership Employer ID
Llc Estancia Gp General partner 1 Jul 2009 Other 27-0665256
Estancia Managing Directors Llc Member 1 Jul 2009 75% - 100% 27-2804671
Michael Casares Mendez Member 1 Jul 2009 50% - 75% 2273279
John Logan Morris Managing member 1 Apr 2011 50% - 75% 1061207
Robert Joseph Caruso Owner 1 Apr 2011 Other 4089696
Lp Estancia Capital Partners Member series a-1 preferred units 1 Dec 2013 50% - 75% 27-0665503

Based in New York

The principal office where Snowden Capital Advisors LLC performs its advisory services is located at 540 Madison Ave., New York, NY 10022, which is also the mailing address of the firm. An additional office of the firm is in Pasadena, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 646-218-9760 or by fax 646-218-9778. The normal business hours are 8am -6pm on Monday - Friday. You can find more information about the New York firm at snowdenlane.com.