Exchange Traded Concepts, LLC (Oklahoma City)

Name: Exchange Traded Concepts, LLC
Address: 10900 Hefner Pointe Drive, Oklahoma City, OK, 73120
Telephone: 405-778-8377

Exchange Traded Concepts, LLC is an investment adviser to an investment company based in Oklahoma City. It manages $4.26 billion of regulatory assets for 27 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of New York and Oklahoma.

Exchange Traded Concepts provides portfolio management for investment companies, portfolio management for pooled investment vehicles, 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.

Exchange Traded Concepts: assets under management

The assets under management (AUM) of Exchange Traded Concepts, LLC is $4.26 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 45739% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $4.26 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $157.73 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Exchange Traded Concepts, LLC for their services and products based on a percentage of assets under management. 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 Exchange Traded Concepts serves?

The firm provides services to investment companies and pooled investment vehicles. The largest group of clients of Exchange Traded Concepts is investment companies with 26 clients and $4.26 billion of assets under management. Among the 13 most similar advisory firms, Exchange Traded Concepts has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $4.26 billion for 27 clients. None of the firm’s clients are foreign persons or businesses.

Exchange Traded Concepts doesn't advise any private funds.

Careers at Exchange Traded Concepts, LLC

The company employs 17 people that are either part- or full-time employees. 71 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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
James Garrett Stevens	Chief executive officer, chief financial officer	1 Jul 2009	Other	4428134
Llc Faithshares Investment Management	Member	1 Jul 2009	Other	27-1043827
Martin W Dziura	Chief compliance officer	1 Jul 2010	Other	1559077
Llc Cottonwood Etf Holdings	Member	1 Jul 2011	75% - 100%	27-5464880
Richard Robert Hogan	Officer	1 Jul 2011	Other	1224923
Darren R. Schuringa	Treasurer	1 Jul 2011	Other	4381128
Llc Yorkville Etf Holdings	Member	1 Jul 2011	75% - 100%	27-5464880
James Johnston Baker	Officer	1 Dec 2011	Other	1054073
Michael Everett Woodard	Chief compliance officer	1 Nov 2014	Other	2319419
Ayssa Ann Garie	Chief compliance officer	1 Jul 2015	Other	6527108
Alyssa Ann Garie	Chief compliance officer	1 Jul 2015	Other	6527108
Wade Christopher Boylan	Chief compliance officer	1 Jun 2016	Other	5315272
Abigail Lynn Bertumen	Chief compliance officer, general counsel	1 Nov 2017	Other	4745844
Dennis Paul Lowenfels	Chief compliance officer	1 May 2018	Other	4030379

Indirect Owners

The SEC currently registers 11 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Richard Hogan 2001 Gst Trust	Member	1 Mar 2001	75% - 100%	xxx-xx-xxxx
Maureen Ann Sherry	Member	1 Aug 2004	Other	1803224
Thompson Sylvester Phillips	Member	1 Jul 2009	50% - 75%	843039
Richard Hogan Revocable Trust	Member	1 Jan 2011	25% - 50%	xxx-xx-xxxx
Richard Robert Hogan	Member	1 Jan 2011	Other	1224923
Richard Hogan Trust	Member	1 Jan 2011	25% - 50%	xxx-xx-xxxx
Darren R. Schuringa	Member	1 Jan 2011	25% - 50%	4381128
Richard Hogan Trust	Member	1 Jul 2011	25% - 50%	xxx-xx-xxxx
Llc Mont Blanc Holdings	Member	1 Jan 2015	25% - 50%	20-2121727
Richard Hogan Gst Trust	Member	1 Jan 2015	Other	xxx-xx-xxxx
Richard Hogan 2001 Gst Trust	Member	1 Jan 2015	Other	xxx-xx-xxxx

Based in Oklahoma City

The principal office where Exchange Traded Concepts, LLC performs its advisory services is located at 10900 Hefner Pointe Drive, Oklahoma City, OK 73120, which is also the mailing address of the firm. An additional office of the firm is in New York, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 405-778-8377 or by fax 405-896-5825. The normal business hours are 8:30 - 4:30 cst on Monday - Friday. You can find more information about the New York firm at exchangetradedconcepts.com and its LinkedIn profile.