Neumeier Poma Investment Counsel LLC (Carmel)

Name: Neumeier Poma Investment Counsel LLC
Address: 26435 Carmel Rancho Boulevard, Carmel, CA, 93923 8852
Telephone: 831-625-6355

Neumeier Poma Investment Counsel LLC is a large advisory firm based in Carmel. It manages $1.38 billion of regulatory assets for 113 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of California and Oklahoma.

Neumeier Poma Investment Counsel provides portfolio management for individuals and small businesses, 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.

Neumeier Poma Investment Counsel: assets under management

The assets under management (AUM) of Neumeier Poma Investment Counsel LLC is $1.38 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 504% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.38 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $12.25 million each.

Neumeier Poma Investment Counsel has custody of $52.19 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 84% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 13% of the firm’s portfolio. Investments in investment and business development companies form 3% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Neumeier Poma Investment Counsel 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.

What kind of clients Neumeier Poma Investment Counsel serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, pooled investment vehicles, and state or municipal government entities. The largest group of clients of Neumeier Poma Investment Counsel is state or municipal government entities with 5 clients and $625.96 million of assets under management. Among the 9 most similar advisory firms, Neumeier Poma Investment Counsel has the highest percentage of state or municipal government entities out of all clients.

The amount of regulatory assets under management is $1.19 billion for 69 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Neumeier Poma Investment Counsel also advises several private funds. Namely, one other private fund.

Careers at Neumeier Poma Investment Counsel LLC

The company employs 10 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. No 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
Peter Lindsay Neumeier	Member & president	1 Jan 1997	25% - 50%	4386704
1994 Neumeier Family Trust U/A/D August 26	Member	1 Jan 1997	Other	xxx-xx-xxxx
Neumeier Family Trust	Member	1 Jan 1997	50% - 75%	xxx-xx-xxxx
Brian David Poma	Member	1 Jul 2008	25% - 50%	5575805
Donna Hagerty	Chief compliance officer	1 Dec 2011	Other	6010621
Darcy Leonard Blackburn	Chief compliance officer	1 Apr 2015	Other	6488221

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Gillian Barbara Neumeier	Co-trustee	1 Jan 1997	50% - 75%	4386708

Based in Carmel

The principal office where Neumeier Poma Investment Counsel LLC performs its advisory services is located at 26435 Carmel Rancho Boulevard, Carmel, CA 93923 8852, 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 831-625-6355 or by fax 831-625-6320. The normal business hours are 6:30 a.m. - 4:00 p.m. on Monday - Friday. You can find more information about the New York firm at npsmallvalue.com.