Braeside Investments, LLC (Dallas)

Name: Braeside Investments, LLC
Address: 5430 Lbj Freeway, Dallas, TX, 75240
Telephone: 214.276.9001

Braeside Investments, LLC is a large advisory firm based in Dallas. It manages $100.42 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdiction of Texas.

Braeside Investments provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Braeside Investments: assets under management

The assets under management (AUM) of Braeside Investments, LLC is $100.42 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -60% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $100.42 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $50.21 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Braeside Investments, 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 Braeside Investments serves?

The only and largest group of clients of Braeside Investments is pooled investment vehicles with 2 clients and $100.42 million of assets under management. Among the 14 most similar advisory firms, Braeside Investments has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $100.42 million for 2 clients. None of the firm’s clients are foreign persons or businesses.

Braeside Investments also advises several private funds. Namely, two hedge funds. The minimum investment commitment required of non-related persons is $750,000 for each fund.

Careers at Braeside Investments, LLC

The company employs 4 people that are either part- or full-time employees. 75 percent of the employees work as investment advisers or researchers. 2 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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Todd Jonathan Stein	Elected manager and member	1 Mar 2004	50% - 75%	4787398
Steven Paul Mcintyre	Elected manager and investment officer	1 Mar 2004	50% - 75%	4787402
Charles Douglas Epperson	Chief compliance officer and general counsel	1 Oct 2012	Other	4216469

Based in Dallas

The principal office where Braeside Investments, LLC performs its advisory services is located at 5430 Lbj Freeway, Dallas, TX 75240, 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 214.276.9001 or by fax 214.276.9005. 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 braesidecapital.com.