Ziegler Capital Management, LLC (Chicago)

Name: Ziegler Capital Management, LLC
Address: 70 West Madison Street, Chicago, IL, 60602
Telephone: 312-368-1442

Ziegler Capital Management, LLC is a large advisory firm based in Chicago. It manages $10.09 billion of regulatory assets for 2,420 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 47 other states.

Ziegler 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, pension consulting services, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Ziegler Capital Management: assets under management

The assets under management (AUM) of Ziegler Capital Management, LLC is $10.09 billion. The firm's AUM has grown by 225% since the beginning of its operation, and $211.57 million of the total AUM is attributable to clients outside of the United States.

The firm manages $10.07 billion in discretionary accounts and $10.52 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $4.17 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $5.26 million.

Ziegler Capital Management has custody of $18.25 million in cash and securities for 1 client in total and its related person acts as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 36% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 20% of the firm’s portfolio. Investments in sovereign bonds form 15% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ziegler Capital Management, LLC for their services and products based on a percentage of assets under management 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 John Joseph Mulherin serves?

The firm provides services to individuals, insurance companies, investment companies, charitable organizations, other investment advisers, high net worth individuals, pooled investment vehicles, banking or thrift institutions, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of John Joseph Mulherin is corporations or other businesses with 484 clients and $4.26 billion of assets under management. Among the 9 most similar advisory firms, Ziegler Capital Management has the highest percentage of corporations or other businesses out of all clients.

The amount of regulatory assets under management is $10.04 billion for 2,412 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.

Ziegler 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 Ziegler Capital Management, LLC

The company employs 81 people that are either part- or full-time employees. 49 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 3 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 receive compensation from other entities for client referrals.

Ziegler Capital Management, LLC is owned by Joseph Nir Pappo. John Joseph Mulherin has been acting as President since 1 May 2005. Paula Marie Horn has served as the Chief Investment Officer since 1 May 2010. Monika Kumari Singh joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Craig Stephen Vanucci	Senior vice president, senior portfolio manager	1 May 2005	Other	2220769
Donald James Nesbitt	Vice president, portfolio manager	1 May 2005	Other	4530193
Richard Duncan Scargill	Vice president, portfolio manager	1 May 2005	Other	2073325
Derek Joseph Pawlak	Vice president, portfolio manager & credit analyst	1 May 2005	Other	2349696
Wendy Wilson Stojadinovic	Assistant vice president, portfolio manager	1 May 2005	Other	2002438
Mikhail Alkhazov	Assistant vice president, portfolio manager	1 May 2005	Other	4141116
Kathryn Marie Sahli	Vice president, institutional sales	1 May 2005	Other	2831452
Jolie Kay Keller	Assistant vice president, equity trader	1 May 2005	Other	1608493
James Richard Wyatt	Senior vice president, institutional sales	1 May 2005	Other	473600
Lori Tena Richardson	Senior vice president, institutional sales	1 May 2005	Other	1749038
David Grove Stoeffel	President & director	1 May 2005	Other	1247755
Brian Keith Andrew	Senior managing director and chief investment officer	1 May 2005	Other	2240211
Franklin Philip Ciano	Senior vice president, chief financial officer	1 May 2005	Other	2122268
Stephen Charles Omeara	Secretary & director	1 May 2005	Other	2324240
Jeffrey Carl Vredenbregt	Treasurer & director	1 May 2005	Other	1689695
Elizabeth Anne Watkins	Chief compliance officer	1 May 2005	Other	2272542
Sarah Elizabeth Schott	Assistant secretary	1 May 2005	Other	4671491
John Joseph Mulherin	Director	1 May 2005	Other	2677528
Thomas Robert Paprocki	Director	1 May 2005	Other	1448888
Gary Philip Engle	Director	1 May 2005	Other	1009773
Inc. The Ziegler Companies	Parent company	1 May 2005	75% - 100%	39-1448883
Linda Ann Ramey Matza	Senior vice president, product manager	1 May 2005	Other	2016551
Michael Dennis Andelbradt	Senior vice president, portfolio manager	1 Aug 2005	Other	4345328
Mark Bennett Burka	Senior vice president, portfolio manager	1 Aug 2005	Other	1736769
James D Dodge	Senior vice president	1 Aug 2005	Other	4345335
Brian J Hoogland	Senior vice president	1 Aug 2005	Other	4345359
Richard G. Knoor	Senior vice president	1 Aug 2005	Other	4625087
Bradley E Laffrey	Senior vice president, portfolio manager	1 Aug 2005	Other	4345341
Glen Clarence Matz	Vice president	1 Aug 2005	Other	1420400
Thomas F Meagher	Institutional sales associate	1 Aug 2005	Other	5033861
James Francis Sullivan	Managing director	1 Aug 2005	Other	4336271
James Floyd Devereaux	Vice president	1 Aug 2005	Other	2754597
Glen Clarence Matz	Senior vice president	1 May 2006	Other	1420400
Elizabeth Anne Watkins	Managing director & chief compliance officer	1 Jul 2006	Other	2272542
Sarah Elizabeth Schott	Corporate secretary & director	1 Jul 2006	Other	4671491
Donald James Nesbitt	Managing director and chief investment officer	1 Aug 2006	Other	4530193
Brian Keith Andrew	President & director	1 Aug 2006	Other	2240211
Craig Stephen Vanucci	Director (not board related)	1 Mar 2007	Other	2220769
Wendy Wilson Stojadinovic	Vice president, portfolio manager	1 Mar 2007	Other	2002438
Mikhail Alkhazov	Vice president, portfolio manager	1 Mar 2007	Other	4141116
Nicholas Charles Bauer	Assistant vice president	1 Mar 2007	Other	3099440
Vinta Kaur Paul	Vice president, interim general counsel and secretary	1 Jul 2007	Other	5227040
Benjamin Harrison Deberry	Vice president, general counsel and secretary	1 Sep 2007	Other	5419278
Angelique Athiena David	Senior vice president / assistant general counsel	1 Oct 2007	Other	5445800
Raheela Gill Anwar	Managing director	1 Nov 2007	Other	4594845
Scott Allen Roberts	Senior managing director / head of asset management	1 Jan 2009	Other	2706025
Charles Henry Self	Senior vice president institutional sales portfolio strategist/fixed income investments	1 Feb 2009	Other	5527810
Paula Marie Horn	Chief investment officer / fixed income investments	1 Feb 2009	Other	2718002
Scott Allen Roberts	President and chief executive officer	1 May 2010	Other	2706025
Paula Marie Horn	Chief investment officer	1 May 2010	Other	2718002
Craig Stephen Vanucci	Managing director, director of client services	1 May 2010	Other	2220769
Donald James Nesbitt	Managing director, chief investment officer equity	1 May 2010	Other	4530193
Elizabeth Anne Watkins	Chief compliance officer	1 May 2010	Other	2272542
Inc. The Ziegler Companies	Owner	1 May 2010	25% - 50%	39-1448883
Llc Rtz Acquisition	Owner	1 May 2010	25% - 50%	27-2311371
John Angelo Giampetroni	Member - board of managers	1 May 2010	Other	1941730
Suhail Rizvi	Member - board of managers	1 May 2010	Other	5785567
Victoria Ann Nonhof	Chief financial officer	1 May 2010	Other	1121655
Kathleen Ann Nelson Colbert	Managing director, general counsel and institutional sales	1 May 2010	Other	1612165
Linda Ann Ramey Matza	Managing director, director of sales	1 May 2010	Other	2016551
Thomas Robert Paprocki	Member - board of managers	1 May 2010	Other	1448888
Wayne Alan Gilpin	Member - board of managers	1 May 2010	Other	1329099
Kathleen Ann Nelson	Managing director, general counsel and institutional sales	1 May 2010	Other	1612165
Craig Laird Schedler	Member - board of managers	1 Sep 2010	Other	4488986
Allison J. Brink	Director of marketing	1 Jun 2011	Other	5436328
Margaret Baer	Chief administrative officer and operating officer	1 Jun 2011	Other	5121824
Donald Wayne Reid	Managing director, co-chief investment officer equities	1 Jun 2011	Other	2703050
Zlcm Partners Llc	Owner	1 Jun 2011	Other	45-2431904
Joseph Nir Pappo	Owner	1 Jun 2011	Other	2331076
Matthew Spencer Maclean	Managing director, chief compliance officer and general counsel	1 Jan 2012	Other	5115583
Joel Dennis Vrabel	Managing director, chief investment officer - growth equity	1 Jan 2012	Other	2162875
Stifel Financial Corporation	Shareholder	1 Dec 2013	75% - 100%	43-1274600
Elizabeth Anne Watkins	Chief compliance officer	1 Apr 2014	Other	2272542
Michael Chih Hao Chien	Chief legal officer	1 Jan 2015	Other	5320859
Renee Marie Ansbro	Chief financial officer	1 May 2016	Other	2268316
Cynthia Perez	Chief operating officer	1 Sep 2016	Other	1769327
John Kane Brinckerhoff	Senior managing director, sales	1 Sep 2016	Other	1199643
Monika Kumari Singh	Chief compliance officer	1 Sep 2019	Other	5018272

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Peter Rittenhouse Kellogg	Shareholder - common stock	1 Dec 2006	25% - 50%	266855
Llc Rtz Acquistitions Holding	Owner	1 May 2010	75% - 100%	27-2366600
Scott Allen Roberts	Owner	1 Jun 2011	75% - 100%	2706025

Based in Chicago

The principal office where Ziegler Capital Management, LLC performs its advisory services is located at 70 West Madison Street, Chicago, IL 60602, which is also the mailing address of the firm. An additional office of the firm is in St. Louis, MO. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 312-368-1442 or by fax 312-750-1131. The normal business hours are 8:00 a.m - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at zieglercap.com.