Sp Investments Management, LLC

CRD#157659
Investment Advisor Firm

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Overview

Sp Investments Management, LLC is an advisory firm headquartered in Menlo Park, California. The firm oversees $162.8 million in assets under management throughout one account, making it a mid-tier investment advisory firm in the United States by assets under management (AUM). The firm has a small group of eight employees, of which four are financial advisors. Sp Investments Management, LLC is not 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 company to do so. Securities are defined as tradable financial investments like bonds, stocks and options.

Sp Investments Management, LLC oversees all of the company's accounts in a discretionary manner. Discretionary management means that transaction choices for the client's account are made by a portfolio manager without needing to seek client approval. The advisory firm's average account size is $162.8 million. An average advisor at Sp Investments Management, LLC administers fewer than one client account, placing it among the most individualized financial advisor firms in the country.

Sp Investments Management, LLC's headquarters is located at 101 Jefferson Drive, Menlo Park, California 94025. It is legally allowed to provide services to customers in the state of California.

Number of Advisors

4

Disclosures

No

Office Location

101 Jefferson Drive
Menlo Park, CA 94025

Sp Investments Management, LLC by the Numbers

Total Number of Employees

8

National Average: 4,943
Total Number of Accounts

1

National Average: 2,522
Average Account Size

$162.8 million

National Average: $1.3 million

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Fee Structure

Fees for financial advice usually are based on which services the firm provides the client. However, fees charged by the firm typically consist of the following fee structures: asset-based. The company does not supply a wrap fee program, in which the firm offers a service bundle for a single fee.

Available

  • Offered by 75% 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.

Unavailable

  • Find one of the 37% 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 3% 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 17% 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 1% 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 40% of firms that offer this fee type

    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.

  • Find one of the 12% 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 caters to investment companies. Sp Investments Management, LLC's biggest client by number of accounts is investment companies. None of its clients are from outside of the U.S.

  • High-Net-Worth Individuals* - 0%
  • Other Individuals - 0%
  • Corporations - 100%
  • 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

Sp Investments Management, LLC does not have any disclosures.

Please visit its Form ADV for more details.

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This content was compiled from the SEC and FINRA