Stonebridge Capital Management Iii LLC (Paramus)

Name: Stonebridge Capital Management Iii LLC
Address: 52 Forest Avenue, Paramus, NJ, 07652
Telephone: 973-244-9696

Stonebridge Capital Management Iii LLC is a related adviser based in Paramus. It manages $5.23 million of regulatory assets for 15 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of New Jersey.

Stonebridge Capital Management Iii provides financial planning services, portfolio management for individuals and small businesses, 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.

Stonebridge Capital Management Iii: assets under management

The assets under management (AUM) of Stonebridge Capital Management Iii LLC is $5.23 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 320% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $5.23 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $348.34 thousand each.

Investments

The firm invests in investment and business development companies the most. They account for 55% of the total AUM. The second-largest asset type is exchange traded securities, which make up 43% of the firm’s portfolio. Investments in cash and cash equivalents form 2% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Stonebridge Capital Management Iii LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Stonebridge Capital Management Iii serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Stonebridge Capital Management Iii is high net worth individuals with 2 clients and $3.9 million of assets under management. Among the 2 most similar advisory firms, Stonebridge Capital Management Iii has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $5.23 million for 10 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.

Stonebridge Capital Management Iii doesn't advise any private funds.

Careers at Stonebridge Capital Management Iii LLC

The company employs 4 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There are 2 people 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
Stonebridge Financial Inc	Managing member	1 Jul 1999	50% - 75%	106341
Konstantinos Kostakis	Officer/investment manager	1 Jul 1999	Other	1025173
Karen Marie Demarco	Officer/admin manager	1 Jul 1999	Other	2919093
Gary Robert Topche	Member	1 Jul 1999	25% - 50%	1430078
Mark Tikkanen	Member	1 Jul 1999	Other	4374883
Robert Anthony Harclerode	Ceo/investment manager	1 Jul 1999	Other	1019390
Konstantinos Kostakes	Officer/investment manager	1 Jul 1999	Other	1025173
Lawrence Ned Frankel	Member	1 Jul 1999	Other	1630603
Robert Anthony Harclerode	Chief compliance officer	1 Jan 2005	Other	1019390
Aaron Saiewitz	Member	1 Sep 2007	Other	5379733
Jeffrey Alan Levitt	Officer/investment manager	1 Sep 2011	Other	2642393
Karen Marie Demarco	Chief compliance officer	1 Sep 2011	Other	2919093

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Robert Anthony Harclerode	Ceo/member	1 Apr 1995	50% - 75%	1019390

Based in Paramus

The principal office where Stonebridge Capital Management Iii LLC performs its advisory services is located at 52 Forest Avenue, Paramus, NJ 07652, 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 973-244-9696 or by fax 973-244-9441. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at sbcm.net/.