Greenwich Investment Management, Inc

CRD#127161
Investment Advisor Firm

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Overview

Greenwich Investment Management, Inc is a financial advisory company located in Stamford, Connecticut. It handles $1.1 billion in assets under management across 1,191 accounts, placing it among the bigger firms in the country by assets under management (AUM). The firm has a small team of 13 employees, all of whom are financial advisors. Greenwich Investment Management, Inc is not a registered broker-dealer, signifying that the company cannot buy and sell securities for its customers' and own accounts and instead has to go through a broker-dealer firm to do so. Securities are exchangable financial investments like stocks, options and bonds.

Greenwich Investment Management, Inc oversees 1,181 of the firm's client assets in a discretionary manner. Discretionary management is a structure in which transaction judgments for the client's account are made by an investment advisor without needing to seek the client's authorization. The firm also oversees 10 non-discretionary accounts totaling $4.8 million in assets under management. The firm's average account size is $953,366. An average advisor at Greenwich Investment Management, Inc oversees about 92 client accounts.

The firm's main office is at 262 Harbor Drive, Stamford, Connecticut 6902. It is legally permitted to provide services to clients across 33 U.S. states and territories.

Assets Under Management

$1.1 billion

Number of Advisors

13

Disclosures

No

Office Location

262 Harbor Drive
Stamford, CT 06902

Greenwich Investment Management, Inc by the Numbers

Total Assets Under Management

$1.1 billion

National Average: $3.7 billion
Total Number of Employees

13

National Average: 29
Total Number of Accounts

1,191

National Average: 2,073
Average Account Size

$953.4 thousand

National Average: $1.8 million

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Fee Structure

Fees for financial advisory services usually vary depending on which services are offered. Fees billed by Greenwich Investment Management, Inc typically consist of the following fee structures: asset-based. Greenwich Investment Management, Inc participates in a wrap fee program, in which the company offers a bundle of services for a single fee.

Available

  • Offered by 74% 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 35% 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 2% 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

Greenwich Investment Management, Inc caters to retail investors, high net worth investors and corporations. Out of its 1,191 accounts, Greenwich Investment Management, Inc's biggest client group is high net worth investors, though it also caters to 994 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an investor who has at least $750,000 under management 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). None of the company's clients are from outside of the U.S.

  • High-Net-Worth Individuals* - 83.95%
  • Other Individuals - 15.2%
  • Corporations - 0.84%
  • 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

Greenwich Investment Management, Inc does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Greenwich Investment Management, Inc

Marco Vangelisti
Stamford, CT
Daniel Laflamme
Stamford, CT
Drew Collins
Stamford, CT
Louis Rieger
Stamford, CT

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This content was compiled from the SEC and FINRA