Kennedy Capital Management, Inc. (St Louis)

Name: Kennedy Capital Management, Inc.
Address: 10829 Olive Blvd, St Louis, MO, 63141 7739
Telephone: 314-432-0400

Kennedy Capital Management, Inc. is a large advisory firm based in St Louis. It manages $4.25 billion of regulatory assets for 306 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Kennedy Capital Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Kennedy Capital Management: assets under management

The assets under management (AUM) of Kennedy Capital Management, Inc. is $4.25 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -3% since the beginning of its operation, and $171.4 million of the total AUM is attributable to clients outside of the United States.

The firm manages $4.25 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $13.89 million each.

Kennedy Capital Management has custody of $12.88 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 96% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 4% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Kennedy Capital Management, Inc. for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Robert Burns Karn Iii serves?

The firm provides services to individuals, investment companies, charitable organizations, other investment advisers, high net worth individuals, pooled investment vehicles, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Robert Burns Karn Iii is state or municipal government entities with 24 clients and $1.24 billion of assets under management. Among the 11 most similar advisory firms, Kennedy Capital Management has the 3rd highest percentage of state or municipal government entities out of all clients.

The amount of regulatory assets under management is $4.25 billion for 292 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Kennedy Capital Management also advises several private funds. Namely, one other private fund. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at Kennedy Capital Management, Inc.

The company employs 53 people that are either part- or full-time employees. 57 percent of the employees work as investment advisers or researchers. 23 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Robert Burns Karn Iii has been acting as President since 1 Dec 2001. Jena Amber Bjornson joined the executive team most recently as the Vice President, Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Richard Henry Sinise	Evp, chief portfolio manager	1 Dec 1993	Other	1859368
Richard Ernest Oliver	Vp,chief financial officer	1 Dec 1994	Other	2329833
Timothy Paul Hasara	Vp, portfolio manager	1 Sep 1995	Other	2527168
Richard Lee Todaro	Vp, portfolio manager	1 Jan 1999	Other	4556336
Robert Burns Karn Iii	Director	1 Dec 2001	Other	4511761
John Morgan Hillhouse	Director	1 Sep 2005	Other	5124379
John M. Hillhouse	Director	1 Sep 2005	Other	5124379
Randall Lee Kirkland	President, chairman of the board	1 Sep 2006	Other	1144506
Francis Andrew Latuda	Director, vp, chief investment officer	1 Oct 2006	Other	2231402
Stephen Alan Mace	Vp, chief operating officer	1 Nov 2006	Other	1777748
Patricia Crosson Row	Director, evp	1 Nov 2006	Other	1125261
Marilyn Kay Lammert	Vp, chief compliance officer	1 Nov 2007	Other	1264361
Matthew John Jermak	Shareholder	1 Nov 2007	Other	2300113
Patricia Crosson Row	Director	1 Jul 2008	Other	1125261
Samuel Trent Dekinder	Director	1 Oct 2009	Other	64269
Donald M Cobin	Vp, director, portfolio manager	1 Apr 2012	Other	4255981
Terrence Gerard Raterman	Vp, portfolio manager	1 Aug 2013	Other	4556292
Niraj Surendra Shah	Vp, chief operating officer, chief technology officer	1 Jun 2016	Other	5454541
Kimberly D Wood	President, chairwoman of the board	1 Aug 2016	Other	6693054
Matthew Howard Scanlan	Director	1 Oct 2017	Other	1367905
James Joseph Boyne	Director	1 Oct 2017	Other	2370445
Donald M Cobin	Chairman of the board, president, chief executive officer	1 Mar 2018	Other	4255981
Craig Anthony Brannam	Vp, chief compliance officer	1 Mar 2018	Other	4709068
Michael David Bertz	Director, vice president, portfolio manager	1 Apr 2018	Other	4317101
Marilyn Kay Lammert	Chief compliance officer	1 Nov 2018	Other	1264361
Jena Amber Bjornson	Vice president, chief compliance officer	1 Feb 2019	Other	3154622

Based in St Louis

The principal office where Kennedy Capital Management, Inc. performs its advisory services is located at 10829 Olive Blvd, St Louis, MO 63141 7739, which is also the mailing address of the firm. An additional office of the firm is in San Antonio, TX. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 314-432-0400 or by fax 314-432-8536. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at kennedycapital.com.