Eagle Ridge Investment Management LLC

CRD#147824
Investment Advisor Firm

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Learn more about Eagle Ridge Investment Management LLC

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Eagle Ridge Investment Management LLC is located at 4 High Ridge Park, Stamford, CT. The firm employs 7 financial advisors to manage client portfolios and provide financial guidance. Eagle Ridge Investment Management LLC is not a registered broker-dealer.

    Eagle Ridge Investment Management LLC oversees $1.2 billion in assets under management across 919 accounts, of which 878 are discretionary and 41 are non-discretionary. Over the past year, the firm has provided financial planning services to between 51 and 100 clients. The services offered include financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, and other services. The firm caters to retail investors, high net worth investors, pension plans, charitable organizations, and corporations, with high net worth investors being the largest client type by accounts. The fee structure at Eagle Ridge Investment Management LLC is asset-based. The firm has 232 high net worth clients.

    Eagle Ridge Investment Management LLC is registered in the states of California, Connecticut, Florida, Maryland, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Texas, Vermont, Virginia, and Washington.

    Assets Under Management

    $1.2 billion

    Number of Advisors

    7

    Disclosures

    No

    Office Location

    4 High Ridge Park
    Stamford, CT 06905-1325

    Eagle Ridge Investment Management LLC by the Numbers

    Total Assets Under Management

    $1.2 billion

    National Average: $8.6 billion
    Total Number of Employees

    13

    National Average: 64
    Total Number of Accounts

    919

    National Average: 375,227
    Average Account Size

    $1.3 million

    National Average: $23.0 thousand
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    Products and Services

    Eagle Ridge Investment Management LLC provides a number of financial services, which can consist of financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, and other services. In the past fiscal year, Eagle Ridge Investment Management LLC provided 51-100 of its accounts with financial planning services. The Firm does not sell products or offer services aside from 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 46% 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

    Fees for financial advice usually are based on the financial services offered. Fees charged by Eagle Ridge Investment Management LLC typically consist of the following fee structure: asset-based.

    Available

    • Offered by 69% 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 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 32% 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

    The firm does business with a broad range of investors. The firm works with retail investors, high net worth investors, pension plans, charitable organizations, and corporations. Out of its 5 clients, Eagle Ridge Investment Management LLC's largest client type by number of accounts is high net worth investors, though it also serves 232 high-net-worth individuals. A high-net-worth individual is defined by the SEC as a person who has at least $750,000 in AUM or a net worth of at least $1,50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments).

    • High-Net-Worth Individuals* - 59.34%
    • Other Individuals - 36.06%
    • Corporations - 1.79%
    • Charitable Organizations - 2.81%

    * 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

    Eagle Ridge Investment Management LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Eagle Ridge Investment Management LLC

    John Knox
    Stamford, CT
    Alison Hamilton
    Stamford, CT
    Ronald Sages
    Stamford, CT

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