Unison Investment Management, LLC

CRD#150893
Investment Advisor Firm

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Overview

Unison Investment Management, LLC is a financial advisory firm that has its headquarters in San Francisco, California. The company manages $1.5 billion in assets across three customer accounts, making it one of the largest financial advisory firms in the United States by assets under management (AUM). The company has an average-sized group, including 14 financial advisors. Unison Investment Management, LLC does not act as a registered broker-dealer, meaning it is not able to buy and sell securities for its accounts and those of its clients and instead has to go through a broker-dealer firm to do so. Securities are defined as tradable fiscal assets such as options, stocks and bonds.

Unison Investment Management, LLC oversees all of the firm's client assets on a discretionary basis. Discretionary management signifies that transaction decisions for the client's account are made by a portfolio manager without needing to seek the customer's approval. Unison Investment Management, LLC manages about $496.8 million for each client account. An average advisor at Unison Investment Management, LLC administers fewer than one client account, placing it among the most personalized advisor firms in the country.

Unison Investment Management, LLC’s central office is located at 650 California Street, San Francisco, California 94108-2702. The company is registered to provide services to customers in the state of California.

Assets Under Management

$1.5 billion

Number of Advisors

14

Disclosures

No

Office Location

650 California Street
San Francisco, CA 94108-2702

Unison Investment Management, LLC by the Numbers

Total Assets Under Management

$1.5 billion

National Average: $9.0 billion
Total Number of Employees

45

National Average: 71,771
Total Number of Accounts

3

National Average: 4,329
Average Account Size

$496.8 million

National Average: $2.1 million

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Fee Structure

Fees for financial management are based on which services the firm provides the client. Fee types charged by Unison Investment Management, LLC most likely include some combination of the following fee structures: asset-based or performance-based. Unison Investment Management, LLC does not provide a wrap fee program, in which the firm offers a bundle of services for a comprehensive fee.

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 26% of firms

    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.

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 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 33% 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 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

Unison Investment Management, LLC works with pooled investment vehicles. Out of its three customers, Unison Investment Management, LLC's largest client group by number of accounts is pooled investment vehicles. None of the firm's customers are non-U.S. persons.

  • 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

Unison Investment Management, LLC does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Unison Investment Management, LLC

James Riccitelli
San Francisco, CA
Sean Gallop
San Francisco, CA
Thomas Sponholtz
San Francisco, CA

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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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