Htaa, LLC (Chicago)
Htaa, LLC is a large advisory firm based in Chicago. It manages $140.87 million of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2014 and has operated in the jurisdiction of Illinois.
Htaa provides portfolio management for individuals and small businesses and portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.
Htaa: assets under management
The assets under management (AUM) of Htaa, LLC is $140.87 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 292% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.
Investments
The firm invests in derivatives the most. They account for 99% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 1% of the firm’s portfolio.Fees & Commissions
The advisory firm has several streams of revenue. Clients pay Htaa, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
What kind of clients Htaa serves?
The firm provides services to investment companies and high net worth individuals. The largest group of clients of Htaa is high net worth individuals with 2 clients and $90.29 million of assets under management. Among the 9 most similar advisory firms, Htaa has the 5th highest percentage of high net worth individuals out of all clients.
The amount of regulatory assets under management is $139.49 million for 3 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.
Htaa doesn't advise any private funds.
Careers at Htaa, LLC
The company employs 4 people that are either part- or full-time employees. 100 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.
Stacey Jean Gillespie joined the executive team most recently as the Chief Compliance Officer.
Direct owners and executive officers
Indirect Owners
The SEC currently registers 2 indirect owners.Based in Chicago
The principal office where Htaa, LLC performs its advisory services is located at 141 W. Jackson Boulevard, Chicago, IL 60604, 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 312-356-3150 or by fax 312-356-4451. The normal business hours are 9am to 5pm on Monday - Friday. You can find more information about the New York firm at hulltacticalfunds.com and its LinkedIn profile.
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