Envestnet Asset Management, Inc. (Chicago)


Envestnet Asset Management, Inc. is a large advisory firm based in Chicago. It manages $126.48 billion of regulatory assets for 667,619 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

Envestnet Asset Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, publication of newsletters, and overlay portfolio management. It doesn't provide financial planning services to its clients. On top of advisory services, the firm also engages as investment research/portfolio management software.

Envestnet Asset Management: assets under management

The assets under management (AUM) of Envestnet Asset Management, Inc. is $126.48 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 8675% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $126.48 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $189.46 thousand each.
Envestnet Asset Management has custody of $31.16 billion in cash and securities for 76,898 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 68% of the total AUM. The second-largest asset type is exchange traded securities, which make up 19% of the firm’s portfolio. Investments in cash and cash equivalents form 5% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Envestnet Asset Management, Inc. for their services and products based on a percentage of assets under management, subscription fees, and fixed 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 William C. Crager serves?

The firm provides services to individuals, investment companies, charitable organizations, high net worth individuals, corporations or other businesses, and state or municipal government entities. The largest group of clients of William C. Crager is individuals with 622,421 clients and $91.28 billion of assets under management. Among the 7 most similar advisory firms, Envestnet Asset Management has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $125.46 billion for 665,148 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Envestnet Asset Management doesn't advise any private funds.

Careers at Envestnet Asset Management, Inc.

The company employs 671 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 66 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 don’t receive compensation from other entities for client referrals.

William C. Crager has been acting as President since 1 Sep 2001. Brandon Rockwell Thomas has served as the Chief Investment Officer since 1 Sep 2001. Joshua David Mayer joined the executive team most recently as the Chief Operating Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Inc. Envestnet Shareholder 1 May 2000 75% - 100% 20-1409613
Inc. The Envestnet Group Shareholder 1 May 2000 75% - 100% 36-4368834
James Winfield Lumberg Vice president and managing director 1 May 2000 Other 2162416
Inc. Envestnet Asset Management Group Shareholder 1 May 2000 75% - 100% 20-1409613
Judson T Bergman Chairman, ceo and director 1 May 2001 Other 1175054
Judson Taft Bergman Chairman, ceo and director 1 May 2001 Other 1175054
Brandon Rockwell Thomas Chief investment officer/managing director 1 Sep 2001 Other 2071577
William C. Crager President/managing director 1 Sep 2001 Other 4451682
Shelly S O'brien Evp/general counsel/secretary 1 Mar 2002 Other 4520223
Shelly Ann Starr Vice president, general counsel, secretary 1 Mar 2002 Other 4520223
Eric Bruce Fowler Senior vice president 1 Apr 2002 Other 2366729
George Luis Alvin Chief compliance officer 1 Sep 2002 Other 3059817
Jr. William Vito Rubino Chief operating officer 1 Nov 2002 Other 4732182
Dale Joseph Seier Controller 1 Jun 2003 Other 2441308
Scott David Grinis Evp/chief technology officer 1 Dec 2004 Other 4301868
Jr. William Vito Rubino Chief financial officer 1 Apr 2005 Other 4732182
Michael Glen Apker Chief operating officer 1 Apr 2005 Other 4301863
Charles Floyd Tennant Chief operating officer 1 Sep 2007 Other 2780727
Peter H Darrigo Chief financial officer 1 Jun 2008 Other 2106490
Timothy Steven Stearns Chief compliance officer 1 Jul 2009 Other 1327230
Debra Jane Devoe Svp, chief compliance officer 1 Jan 2014 Other 2372586
Joshua David Mayer Chief operating officer 1 Apr 2014 Other 6393057

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc. Envestnet Group Shareholder 1 Feb 2000 25% - 50% 36-4368834
L.P. Grp Ii Shareholder 1 May 2004 25% - 50% 95-4780972

Based in Chicago

The principal office where Envestnet Asset Management, Inc. performs its advisory services is located at 35 East Wacker Drive, Suite 2400, Chicago, IL 60601 2206, which is also the mailing address of the firm. An additional office of the firm is in Boston, MA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 312-827-2800 or by fax 312-621-7089. 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 envestnet.com.