AAM

RIASEC Registered
Total AUM
$27.5B
Discretionary
$26.7B
97% of AUM
Avg account
$32.5M
Accounts
846
Employees
49
Advisory reps
9

Firm details

Headquarters
Chicago, Illinois
CRD number
109875
Registered since
March 1, 2001
Custodians
U.S. BANK, N.A., THE BANK OF NEW YORK MELLON
Fee structure
Percentage of AUM, Fixed Fees, Performance Based Fees
Client types
  • Insurance Companies98.64%
  • HNWI0.73%
  • Corporations / Businesses0.62%
Services
Portfolio Management for IndividualsPortfolio Management for Institutional ClientsSelection of Other Advisers

Firm profile

FINTRX

Overview

AAM is a limited liability company operating as an institutional registered investment adviser; it has been registered with the SEC since 2001. The firm serves both individual/family and institutional clients and acts as a capital allocator that also selects external managers. Its advisory services include discretionary portfolio management for individuals, small businesses and institutions, plus manager selection. Fee arrangements are a mix of percentage-of-assets, fixed-fee engagements and performance-based fees. AAM identifies a fixed-income preference and does not classify itself as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Investment Grade Corp Bonds 41%, Other 34%, US Government Bonds 10%, State & Local Bonds 7%, Cash & Cash Equivalents 4%, Non-Investment Grade Corp Bonds 3%, Exchange Traded Equities 1%41%
  • Investment Grade Corp Bonds41%
  • Other34%
  • US Government Bonds10%
  • State & Local Bonds7%
  • Cash & Cash Equivalents4%

Owners & executives

3 of 4
  • John Schaefer

    John Schaefer

    Chairman and Chief Executive OfficerCRD 1867983

  • Joseph Borgmann

    Joseph Borgmann

    Principal and Chief Financial OfficerCRD 6770255

  • Chelsea Klassa

    Chelsea Klassa

    Principal And Chief Compliance OfficerCRD 7214259

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Contacts

3 of 5
  • Eric Goodman

    DirectorCRD 4352804

  • Dan Byrnes

    Dan Byrnes

    President and Senior Portfolio ManagerCRD 7245245

  • Suzette Huovinen

    Suzette Huovinen

    Senior Vice PresidentCRD 7705540

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 43

Active vs passive

$384M in ETFs

Passive

67%

$257M

Active

22%

$127M

ETFProviderStyleCategoryValueShares% of portfolio
VANGUARD MORNINGSTAR TOTAL STOCK MARKET INDEX FUND (VTI)VanguardPassiveLarge Blend$78.8M210,44820.52%

Location

Primary office

Chicago, IL

Cook

Location

Chicago, IL

Headquartered in Chicago, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.

Metro area
Chicago-Naperville, IL-IN-WI
Region
Midwest
County
Cook
Address
10 S Riverside Plz
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth