Taylor Frigon Capital Management LLC (San Luis Obsipo)


Taylor Frigon Capital Management LLC is a large advisory firm based in San Luis Obsipo. It manages $189.09 million of regulatory assets for 136 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of California and Texas.

Taylor Frigon Capital Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Taylor Frigon Capital Management: assets under management

The assets under management (AUM) of Taylor Frigon Capital Management LLC is $189.09 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 207% since the beginning of its operation, and $736.6 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $189.09 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.39 million each.
Taylor Frigon Capital Management has custody of $48.69 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 89% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 8% of the firm’s portfolio. Investments in investment and business development companies form 3% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Taylor Frigon Capital Management 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 Taylor Frigon Capital Management serves?

The firm provides services to investment companies, charitable organizations, high net worth individuals, pooled investment vehicles, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Taylor Frigon Capital Management is high net worth individuals with 111 clients and $98.27 million of assets under management. Among the 7 most similar advisory firms, Taylor Frigon Capital Management has the 4th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $189.09 million for 136 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.

Taylor Frigon Capital Management also advises several private funds. Namely, one other private fund. The minimum investment commitment required of non-related persons is $250,000 for each fund.

Careers at Taylor Frigon Capital Management LLC

The company employs 11 people that are either part- or full-time employees. 36 percent of the employees work as investment advisers or researchers. 4 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 compensates 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
Gerard Joseph Frigon Chief compliance officer/ president/ chief investment officer 1 Nov 2006 Other 1624124
Frigon Family Trust Owner 1 Jun 2009 75% - 100% xxx-xx-xxxx
Karen Taylor Frigon Chief operations officer 1 Jul 2013 50% - 75% 6101820
Jennifer Oanh Hall Chief compliance officer 1 Nov 2018 Other 7044995

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Karen Taylor Frigon Co trustee 1 Jun 2009 50% - 75% 6101820
Gerard Joseph Frigon Co trustee 1 Jun 2009 50% - 75% 1624124

Based in San Luis Obsipo

The principal office where Taylor Frigon Capital Management LLC performs its advisory services is located at 656 Santa Rosa Street, San Luis Obsipo, CA 93401 2802, which is also the mailing address of the firm. An additional office of the firm is in San Francisco, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 805-226-0280 or by fax 650-242-4220. The normal business hours are 9:00am to 5:00pm on Monday - Friday. You can find more information about the New York firm at taylorfrigon.blogspot.com.