Imperial Capital Asset Management LLC

CRD#108258
Investment Advisor Firm

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Overview

Imperial Capital Asset Management LLC operates as an advisory company that has its headquarters in Palm Beach Gardens, Florida. Imperial Capital Asset Management LLC administers $393.7 million in total assets over three accounts, making it one of the bigger firms in the United States by assets under management (AUM). The firm has a small group, including 6 financial advisors. Imperial Capital Asset Management LLC is not a registered broker-dealer, signifying that the company is not able to buy and sell securities for its own accounts as well as its customers' and instead is required to go through a broker-dealer firm to do so. Securities are exchangable financial investments like bonds, stocks and options.

Imperial Capital Asset Management LLC manages one of the firm's accounts on a discretionary basis. Discretionary management means that a portfolio manager makes buy and sell decisions without requiring client approval. It also administers two non-discretionary accounts with a total of $285.4 million in assets. The company's typical account size is $131.2 million. The average financial advisor at Imperial Capital Asset Management LLC administers fewer than one client account, making it one of the most individualized advisor firms in the country.

Imperial Capital Asset Management LLC's central office is located at 3801 Pga Boulevard, Suite 603, Palm Beach Gardens, Florida 33410. Imperial Capital Asset Management LLC is allowed to provide services to clients across 2 states, including California and Florida.

Assets Under Management

$393.7 million

Number of Advisors

6

Disclosures

No

Office Location

3801 Pga Boulevard, Suite 603
Palm Beach Gardens, FL 33410

Imperial Capital Asset Management LLC by the Numbers

Total Assets Under Management

$393.7 million

National Average: $8.6 billion
Total Number of Employees

13

National Average: 64
Total Number of Accounts

3

National Average: 375,227
Average Account Size

$131.2 million

National Average: $23.0 thousand
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Fee Structure

A financial advisor's fees typically vary depending on which services are offered. Fees charged by Imperial Capital Asset Management LLC can include the following fee structures: asset-based, performance-based or other. The company does not provide a wrap fee program, in which the firm offers a service bundle for a single fee.

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.

  • 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.

  • Offered by 0% of firms

    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.

  • Offered by 10% of firms

    Other

    Show Explanation

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

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 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.

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Types of Clients

It works with pooled investment vehicles, other investment advisers and other. Out of its three customers, Imperial Capital Asset Management LLC's biggest client is other investment advisers. Around 82% 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

Imperial Capital Asset Management LLC does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Imperial Capital Asset Management LLC

Randall Wooster
Palm Beach Gardens, FL
Jason Wangler
Houston, TX
Clay Knobler
Palm Beach Gardens, FL
Megan Barnett
New York, NY
Christopher Locicero
Palm Beach Gardens, FL
Matthew Kaplan
Palm Beach Gardens, FL
Norman Ludtke
New York, NY
Jason Reese
Palm Beach Gardens, FL
Mark Martis
Palm Beach Gardens, FL

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