Osterweis Capital Management
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Overview
Osterweis Capital Management is an advisory company based in San Francisco, California. The firm handles $403.8 million in assets throughout 48 customer accounts, making it one of the bigger firms in the nation by assets under management (AUM). The company has an average-sized group, including 16 financial advisors. Osterweis Capital Management does not act as a registered broker-dealer, meaning the firm cannot buy and sell securities for its own accounts as well as its clients' and instead is required to go through a broker-dealer company to do so. Securities are defined as exchangable financial assets such as options, bonds and equities.
Osterweis Capital Management administers all of its client assets in a discretionary manner. Discretionary management signifies that a portfolio manager makes buy and sell decisions without needing client permission. The advisory firm's typical account size is $8.4 million. An average advisor at Osterweis Capital Management oversees about three client accounts, placing it among the most personalized advisor firms in the country.
The firm's headquarters is at One Maritime Plaza, Ste 800, San Francisco, California 94111. The firm is permitted to provide services to investors across a number of states, including California, New Hampshire and New York.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Osterweis Capital Management by the Numbers
$403.8 million
61
48
$8.4 million
Products and Services
Osterweis Capital Management offers multiple financial services, which can include financial planning services, portfolio management for individuals and small businesses, portfolio management for investment companies and portfolio management for institutional clients. In the prior financial year, the company provided financial planning services to 26-50 of its clients. The company is not engaged in selling products or offering services apart from investment advice to its investment advisory clients.
Core Advisor Services
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Offered by 31% of firms
Financial Planning Services
This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.
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Offered by 46% of firms
Portfolio Management
This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.
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Market Timing Services
This is the practice of attempting to make short-term profits on investments by buying low and selling high.
Other Services
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Selection of Other Advisors
This is the firm's assistance with choosing other advisors to work with who may have different specialties.
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Publication of Periodicals
This is the publication of various financial education materials.
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Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Fee Structure
A financial advisor's fees typically vary depending on which service is provided. However, fee types billed by the firm can be comprised of the following fee structures: asset-based or fixed. Osterweis Capital Management does not participate in a wrap fee program, in which the company offers a bundle of services for a comprehensive fee.
Available
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Offered by 69% of firms
Percentage of Assets
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Offered by 32% of firms
Fixed
Unavailable
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Find one of the 21% of firms that offer this fee type
Hourly
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Find one of the 1% of firms that offer this fee type
Commissions
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Find one of the 26% of firms that offer this fee type
Performance-based
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Find one of the 0% of firms that offer this fee type
Subscription
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Find one of the 10% of firms that offer this fee type
Other
Types of Clients
It works with high net worth investors and investment companies. Out of its 48 customers, Osterweis Capital Management's largest client group is high net worth investors, but it also serves 47 high-net-worth individuals. The SEC defines a high-net-worth individual as an investor who has at least $750,000 under management or a net worth of at least $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 1% of its clients are non-U.S. persons.
- High-Net-Worth Individuals* - 97.92%
- Other Individuals - 0%
- Corporations - 2.08%
- Charitable Organizations - 0%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
Osterweis Capital Management does not have any disclosures.
Please visit its Form ADV for more details.
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