Grassi Investment Management, LLC (Santa Clara)


Grassi Investment Management, LLC is a large advisory firm based in Santa Clara. It manages $790.1 million of regulatory assets for 461 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdiction of California.

Grassi Investment Management provides portfolio management for individuals and small businesses 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.

Grassi Investment Management: assets under management

The assets under management (AUM) of Grassi Investment Management, LLC is $790.1 million. The firm's AUM has grown by 216% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $708.99 million in discretionary accounts and $81.11 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.64 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $2.8 million.

Investments

The firm invests in exchange traded securities the most. They account for 77% of the total AUM. The second-largest asset type is non-investment grade corporate bonds, which make up 7% of the firm’s portfolio. Investments in investment grade corporate bonds form 5% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Grassi Investment Management, LLC for their services and products based on a percentage of assets under management 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 Grassi Investment Management serves?

The firm provides services to individuals, insurance companies, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Grassi Investment Management is corporations or other businesses with 11 clients and $358.79 million of assets under management. Among the 9 most similar advisory firms, Grassi Investment Management has the highest percentage of corporations or other businesses out of all clients.

The amount of regulatory assets under management is $790.1 million for 196 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Grassi Investment Management doesn't advise any private funds.

Careers at Grassi Investment Management, LLC

The company employs 6 people that are either part- or full-time employees. 83 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 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
Peter Ted Grassi Managing member/chief compliance officer 1 Jan 2000 25% - 50% 227676
Peter Edward Grassi Managing member 1 Jan 2000 50% - 75% 1018454
Peter T Grassi Managing member 1 Jan 2000 75% - 100% 227676
David Allen Statham Managing member 1 Jan 2002 Other 3172009

Based in Santa Clara

The principal office where Grassi Investment Management, LLC performs its advisory services is located at 2350 Mission College Blvd., Suite 190, Santa Clara, CA 95054, 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 650-934-0770 or by fax 650-934-0777. The normal business hours are 6:30 a.m. to 4:00 p.m. on Monday - Friday. You can find more information about the New York firm at grassiinvest.com.