Tower Asset Management LLC (Beverly Hills)


Tower Asset Management LLC is a large advisory firm based in Beverly Hills. It manages $384 million of regulatory assets for 1,200 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Arizona, California, Colorado, and 12 other states.

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

Tower Asset Management: assets under management

The assets under management (AUM) of Tower Asset Management LLC is $384 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -17% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $384 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $320 thousand each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Tower Asset Management LLC for their services and products based on a percentage of assets under management. 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.

Careers at Tower Asset Management LLC

James David Portman has been acting as President since 1 Nov 1999. Inc Sws Group joined the executive team most recently as the Indirect Owner.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Llc. M.L. Stern & Co. Owner 1 Nov 1999 75% - 100% 8327
Pacific Lifecorp. Owner 1 Nov 1999 75% - 100% 33-0769203
("Tam") Tam Holding Inc. Owner 1 Nov 1999 Other 95-4089696
Mlsmes Holding Company ("Mlsmes") Owner 1 Nov 1999 Other 95-3504791
Dtd 07/22/76 Stern Family Grantor Trust Owner 1 Nov 1999 75% - 100% xxx-xx-xxxx
Inc. A Cal. Corp. Pacific Mutual Holding Co. Owner 1 Nov 1999 75% - 100% 33-0769202
Milford Lee Stern Member 1 Nov 1999 Other 501622
James David Portman President 1 Nov 1999 Other 4470242
Jon Christopher Lam Coo 1 Jan 2004 Other 1860840
Charles Larsen Senior vice president 1 Jan 2004 Other 1955290
Raymond Clayton Baker Sr. vice president 1 Jan 2004 Other 10863
Stuart M Sneddon Senior vice president 1 Jan 2004 Other 2038208
Charles John Larsen Senior vice president 1 Jan 2004 Other 1955290
Stuart Michael Sneddon Senior vice president 1 Jan 2004 Other 2038208
Jon Christopher Lam President 1 Nov 2006 Other 1860840
David Maurer Chief compliance officer 1 Dec 2006 Other 4695817

Indirect Owners

The SEC currently registers 6 indirect owners.

Name Entity Date acquired Ownership Employer ID
Pacific Life Corp Member 1 Nov 1999 75% - 100% 33-0769203
Mlsmes Holding Company Member 1 Nov 1999 Other 95-3504791
Llc Tam Holding Company Member 1 Nov 1999 Other 95-4089696
Inc. Pacific Select Distributors Owner 1 Jan 2004 75% - 100% 4452
Pacific Select Group Indirect owner 1 Dec 2005 75% - 100% 95-1079000
Inc Sws Group Indirect owner 1 Apr 2008 75% - 100% 75-2040825

Based in Beverly Hills

The principal office where Tower Asset Management LLC performs its advisory services is located at 8350 Wilshire Blvd, Beverly Hills, CA 90211, 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 323-658-4466 or by fax 323-658-4475. The normal business hours are 8:00a.m. to 5:00p.m. on Monday - Friday. You can find more information about the New York firm at www.towerasset.com.