Walnut Asset Management LLC (Philadelphia)


Walnut Asset Management LLC is a large advisory firm based in Philadelphia. It manages $579.43 million of regulatory assets for 278 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, California, Connecticut, and 12 other states.

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

Walnut Asset Management: assets under management

The assets under management (AUM) of Walnut Asset Management LLC is $579.43 million. The firm's AUM has gone down by -19% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $241.38 million in discretionary accounts and $338.06 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.01 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $8.67 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Walnut Asset Management LLC for their services and products based on a percentage of assets under management, hourly charges, 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.

Careers at Walnut Asset Management LLC

Peter Bedell has been acting as President since 1 Aug 1999. Clifford Peter Haugen joined the executive team most recently as the Cfo.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Peter Bedell Chairman 1 Aug 1999 Other 16613
Robert Nielson Phillips President 1 Aug 1999 Other 872937
William Gerald Mckenna Executive vp 1 Aug 1999 Other 328766
Linell Mccurry Executive vp 1 Aug 1999 Other 852700
William Dean Karrash Secretary/treasurer 1 Aug 1999 Other 2175578
Thom Roy Brown Vice president 1 Aug 1999 Other 33060
Deborah Ann Williams Senior vp 1 Aug 1999 Other 730756
Rutherford Financial Corp. Shareholder 1 Jan 2000 25% - 50% 23-2335627
Cummins Catherwood Executive vp 1 Jan 2000 Other 43335
Bayard Robert Fiechter Executive vp 1 Jan 2000 Other 1299468
James Madison Smartt Executive vp 1 Jan 2000 Other 426746
Ltd. Phoenix Investment Partners Shareholder 1 Feb 2001 25% - 50% 107481
Radcliffe Cheston Executive vp 1 Jul 2002 Other 1561669
James Vincent Kelly Executive vp 1 Jul 2002 Other 4366961
William Allen Francis Senior vp 1 Jul 2002 Other 2238527
Clifford Peter Haugen Cfo 1 Mar 2004 Other 4416860

Indirect Owners

The SEC currently registers 4 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc. Pm Holdings Owner 1 May 1995 75% - 100% 06-1065484
Phoenix Home Life Mutual Insurance Company Owner 1 May 1995 75% - 100% 06-0847856
Inc. Phoenix Investment Management Company Indirect shareholder 1 Jun 2001 75% - 100% 06-1605029
Inc. The Phoenix Companies Parent company 1 Jun 2001 75% - 100% 06-1599088

Based in Philadelphia

The principal office where Walnut Asset Management LLC performs its advisory services is located at 1617 John F. Kennedy Blvd, Philadelphia, PA 19103, 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 215-981-0776 or by fax 215-981-0581. The normal business hours are 8:30 am - 4:30 pm on Monday - Friday. You can find more information about the New York firm at www.wamia.com.