Description

Seven-year-old Midwest US-based RIA for sale. The RIA exists to run a Tech/Small Cap Growth-focused separately managed account (SMA) vehicle. Just under $1m in AUM now but capacity for $200 million with same performance. The portfolio manager has run successful mutual funds with AUM > $500 million.

This SMA vehicle currently has a 4 Star (out of 5) rating from Morningstar for Overall and Trailing-5-Year periods, as of 8/31/15. Trailing-5-Year information ratio of 1.12 and Sharpe ratio of 1.20. As of 12/31/15, 12.47% annualized return (net of fees) would put it in the 20th percentile among technology mutual funds for trailing five years, per Morningstar; would be in 6th percentile among small cap growth mutual funds over same time period.

Portfolio is fully seasoned. Extremely disciplined and repeatable process in use since year 2002. 50-stock portfolio from beginning. Long-only; no shorts, ETFs or derivatives. Manager is 23-year money management vet. Wall Street Journal Category King in Small Cap Growth in 2006. Pensions & Investments Top Performing Manager as of Q2 2014.

The portfolio manager currently has regular column with MarketWatch.com (Dow Jones); strong background in media (TV and radio) and marketing.

Have laid low while building track record. Now time for marketing and distribution push. Federal trademark secured on firm and product names. All records available. Firm GIPS-verified in April 2012 (required for Morningstar rating).

Seller open to a variety of arrangements, including outright sale, sub-advisory relationship, distribution agreement or dual registration. Post-sale management arrangement negotiated separately. Manager can relocate to join acquiring or partner firm.

Posted May 7, 2013

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