Columbus Circle Investors (Stamford)

Name: Columbus Circle Investors
Address: Metro Center, Stamford, CT, 06902
Telephone: 203-353-6000

Columbus Circle Investors is a large advisory firm based in Stamford. It manages $3.59 billion of regulatory assets for 57 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, Connecticut, Illinois, and 3 other states.

Columbus Circle Investors provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and delivery of model portfolios for wrap programs and other 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.

Columbus Circle Investors: assets under management

The assets under management (AUM) of Columbus Circle Investors is $3.59 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -31% since the beginning of its operation, and $138.04 million of the total AUM is attributable to clients outside of the United States.

The firm manages $3.59 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $62.9 million each.

Investments

The firm invests in exchange traded securities the most. They account for 97% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 3% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Columbus Circle Investors 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 Columbus Circle Investors serves?

The firm provides services to investment companies, charitable organizations, pooled investment vehicles, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Columbus Circle Investors is investment companies with 7 clients and $1.95 billion of assets under management. Among the 9 most similar advisory firms, Columbus Circle Investors has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $3.58 billion for 54 clients. 2% of the firm’s clients are foreign persons or businesses.

Columbus Circle Investors also advises several private funds.

Careers at Columbus Circle Investors

The company employs 35 people that are either part- or full-time employees. 46 percent of the employees work as investment advisers or researchers. 2 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 doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Llc Ccip	General partner	1 Jun 1999	75% - 100%	06-1546886
Inc. Columbus Circle Investors Management	General partner	1 Jun 1999	Other	06-1406049
Anthony Rizza	Senior managing director	1 Jan 2000	Other	2766218
Clifford G Fox	Senior managing director	1 Jan 2000	Other	2296410
Donald Arthur Chiboucas	Ceo, sr. managing director	1 Jan 2000	Other	2113010
Marc Stewart Felman	Sr. managing director, compliance officer	1 Jan 2000	Other	1880892
Robert Warren Fehrmann	Senior managing director	1 Jan 2000	Other	600451
Frank Cuttita	Senior managing director, chief administrative officer	1 Apr 2001	Other	2008482
Karen Ann Augusti	Senior managing director	1 Jul 2002	Other	2115753
Principal Global Columbus Circle Llc	General partner	1 Jan 2005	Other	20-2265823
Karl Webster Anderson	Senior managing director	1 Mar 2007	Other	3098927
Michael Steele Lukaj	Chief compliance officer	1 Jan 2014	Other	5448713
J Markham Penrod	Chief compliance officer	1 Sep 2015	Other	4302854

Indirect Owners

The SEC currently registers 7 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Principal Life Insurance Company	Sole member, 100% owner	1 Sep 1998	75% - 100%	42-0127290
Inc. Principal Financial Services	100% owner	1 Oct 2001	75% - 100%	42-1520348
Inc. Principal Financial Group	100% owner	1 Oct 2001	75% - 100%	42-1520346
Anthony Rizza	Member	1 Jan 2004	25% - 50%	2766218
Clifford G Fox	Member	1 Jan 2004	25% - 50%	2296410
Principal Global Investors	Member	1 Jan 2005	75% - 100%	109002
Llc Principal Global Investors	Sole member, 100% owner	1 Jan 2005	75% - 100%	109002

Based in Stamford

The principal office where Columbus Circle Investors performs its advisory services is located at Metro Center, Stamford, CT 06902, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 203-353-6000 or by fax 203-251-8707. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at columbuscircle.com.