Osterweis Capital Management

CRD#109580
Investment Advisor Firm

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Overview

Osterweis Capital Management operates as a financial advisory firm that has its headquarters in San Francisco, California. The company administers $7.3 billion in assets under management across 252 accounts, placing it among the biggest firms in the nation by assets under management (AUM). The company has an average-sized group, including 18 financial advisors. Osterweis Capital Management does not act as a registered broker-dealer, signifying that the company cannot buy and sell securities for its own accounts as well as its clients' and instead must go through a broker-dealer firm to do so. Securities are defined as exchangable financial assets such as bonds, options and stocks.

Osterweis Capital Management administers more than half of the company's accounts in a discretionary manner. Discretionary management signifies that a portfolio manager has the discretion to make buy and sell decisions for the client's account without needing the client's authorization. It also oversees 15 non-discretionary accounts totaling $18.0 million in AUM. The investment advisory firm supervises an average of $29.0 million for each client account. An average financial advisor at Osterweis Capital Management administers about 14 client accounts, making it one of the more individualized financial advisor firms in the country.

Osterweis Capital Management’s main office is at One Maritime Plaza, Suite 800, San Francisco, California 94111. It is legally allowed to provide services to clients throughout a number of states, including California, New York, Oregon and Texas.

Assets Under Management

$7.3 billion

Number of Advisors

18

Disclosures

No

Office Location

One Maritime Plaza, Suite 800
San Francisco, CA 94111

Osterweis Capital Management by the Numbers

Total Assets Under Management

$7.3 billion

National Average: $9.0 billion
Total Number of Employees

58

National Average: 71,771
Total Number of Accounts

252

National Average: 4,329
Average Account Size

$29.0 million

National Average: $2.1 million

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Products and Services

Osterweis Capital Management provides multiple 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 last financial year, it provided financial planning services to 26-50 of its accounts. It is not involved in selling products or offering services other than investment advice to its investment advisory customers.

Core Advisor Services

  • 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.

  • Offered by 47% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

  • Find a firm that offers this service

    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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Fee Structure

Financial advisory fees typically are based on which service is offered. Fee types billed by the company likely consist of the following fee types: asset-based or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the firm.

Available

  • Offered by 70% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 33% of firms

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

Unavailable

  • Find one of the 21% of firms that offer this fee type

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Find one of the 1% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 26% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 0% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 10% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

The company provides services to retail investors, high net worth investors, investment companies and charitable organizations. Out of its 252 clients, Osterweis Capital Management's largest client group is high net worth investors, though it also manages money for 218 high-net-worth individuals. A high-net-worth individual is defined by the SEC as someone who has at least $750,000 in AUM or a net worth of more than $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 1% of its customers are non-U.S. persons.

  • High-Net-Worth Individuals* - 87.9%
  • Other Individuals - 7.26%
  • Corporations - 1.61%
  • Charitable Organizations - 3.23%

* 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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The content in this profile was updated by SmartAsset on 04/01/2022 using publicly available data compiled from the SEC and FINRA. To report any data inconsistencies or errors, please contact profile-compliance@smartasset.com.

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