The Palisades Group, LLC (Los Angeles)


The Palisades Group, LLC is a large advisory firm based in Los Angeles. It manages $967.1 million of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of California, Illinois, and Texas.

The Palisades Group provides portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

The Palisades Group: assets under management

The assets under management (AUM) of The Palisades Group, LLC is $967.1 million. The firm's AUM has gone down by -14% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $38.3 million in discretionary accounts and $928.8 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $38.3 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $309.6 million.
The Palisades Group has custody of $21.37 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Investments

The firm invests in other assets the most. They account for 95% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 5% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay The Palisades Group, 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 The Palisades Group serves?

The only and largest group of clients of The Palisades Group is pooled investment vehicles with 2 clients and $631 million of assets under management. Among the 11 most similar advisory firms, The Palisades Group has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $631 million for 2 clients. None of the firm’s clients are foreign persons or businesses.

The Palisades Group also advises several private funds. Namely, one other private fund. The minimum investment commitment required of non-related persons is $500,000 for each fund.

Careers at The Palisades Group, LLC

The company employs 24 people that are either part- or full-time employees. 21 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
Stephen Mark Kirch Board member, co-president, and chief executive officer 1 Sep 2012 Other 270540
Jack Lee Macdowell Board member, co-president, and chief investment officer 1 Sep 2012 Other 4269131
Troy A. Grande Chief financial officer and chief compliance officer 1 Apr 2013 Other 4540937
Inc. Banc Of California Owner 1 Sep 2013 75% - 100% 04-3639825
Chad Tyler Brownstein Board member 1 Sep 2013 Other 2724984
Steven Alan Sugarman Board member and managing member 1 Sep 2013 Other 4749281
Jeff Seabold Board member 1 Sep 2013 Other 6311249
Joshua Que Chief compliance officer 1 Aug 2015 Other 6600668
Brian Patrick Kuelbs Board member & executive chairman 1 Nov 2015 Other 2201406
Llc Palisades Holdings I Owner 1 May 2016 75% - 100% 81-2424020
Llc Palisades Holdings Ii Owner 1 Mar 2017 75% - 100% 61-1868207
Sally Kawana Kelly Chief financial officer and chief compliance officer 1 May 2017 Other 4712167
Sally N. Kawana Chief financial officer and chief compliance officer 1 May 2017 Other 4712167
Stephen Mark Kirch Vice chairman 1 Feb 2018 Other 270540

Indirect Owners

The SEC currently registers 3 indirect owners.

Name Entity Date acquired Ownership Employer ID
Jack Lee Macdowell Member 1 May 2016 75% - 100% 4269131
Stephen Mark Kirch Member 1 May 2016 50% - 75% 270540
Llc Palisades Holdings I Member 1 Mar 2017 75% - 100% 81-2424020

Based in Los Angeles

The principal office where The Palisades Group, LLC performs its advisory services is located at 11755 Wilshire Boulevard, Los Angeles, CA 90025, which is also the mailing address of the firm. An additional office of the firm is in Addi Son, TX. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 424-280-7560. The normal business hours are 9am-5pm on Monday - Friday. You can find more information about the New York firm at palisades.us.com and its LinkedIn profile.