Transwestern Investment Management, LLC (Dallas)

Name: Transwestern Investment Management, LLC
Address: 8235 Douglas Avenue, Dallas, TX, 75225
Telephone: 214-572-9817

Transwestern Investment Management, LLC is a large advisory firm based in Dallas. It manages $4.44 billion of regulatory assets for 14 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of Texas.

Transwestern Investment Management provides 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.

Transwestern Investment Management: assets under management

The assets under management (AUM) of Transwestern Investment Management, LLC is $4.44 billion. The firm's AUM has grown by 438% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $513.91 million in discretionary accounts and $3.93 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $171.3 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $356.84 million.

Transwestern Investment Management has custody of $513.91 million in cash and securities for 3 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in other assets the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Transwestern Investment Management, LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Ronald Earl Davis Jr. serves?

The firm provides services to insurance companies, pooled investment vehicles, and state or municipal government entities. The largest group of clients of Ronald Earl Davis Jr. is pooled investment vehicles with 8 clients and $2.06 billion of assets under management. Among the 5 most similar advisory firms, Transwestern Investment Management has the 3rd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $3.36 billion for 10 clients. None of the firm’s clients are foreign persons or businesses.

Transwestern Investment Management also advises several private funds. Namely, eight real estate funds. The minimum investment commitment required of non-related persons ranges from $0 to $20,000,000.

Careers at Transwestern Investment Management, LLC

The company employs 28 people that are either part- or full-time employees. 82 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.

Ronald Earl Davis Jr. has been acting as President since 1 Oct 2012. Charles Nicholas Hazen joined the executive team most recently as the President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Transwestern Investment Group	Limited liability company	1 Feb 1978	75% - 100%	45-1535013
Laurie Litherland Dotter	President and chief compliance officer	1 Oct 2010	Other	6010392
Robert Douglas Duncan	Director and chairman	1 Oct 2010	Other	5291409
Lawrence Pike Heard	Director and chief executive officer	1 Oct 2010	Other	6074029
Thomas Oliver Mcnearney	Elected manager	1 Oct 2010	Other	6074032
Laurie Dotter	President and chief compliance officer	1 Oct 2010	Other	6010392
Llc Transwestern Investment Group	Member	1 Mar 2011	75% - 100%	45-1535013
Collin Kent Comer	Managing director, acquisitions	1 Feb 2012	Other	6054008
Ronald Earl Davis Jr.	Director	1 Oct 2012	Other	6074037
Paul Garancis	Managing director, asset management	1 Dec 2012	Other	6826936
Scott Randall Fitzgerald	Executive managing director of transwestern strategic partners llc	1 Dec 2012	Other	2209506
Reid Bourgeois	Chief compliance officer and chief financial officer	1 Jun 2017	Other	6827217
Laurie Litherland Dotter	President of transwestern corporate properties	1 Jun 2017	Other	6010392
Charles Nicholas Hazen	President	1 Sep 2017	Other	4697523

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Llc Transwestern Investment Group	Member	1 Oct 2010	75% - 100%	45-1535013
Robert Douglas Duncan	Member	1 Mar 2011	50% - 75%	5291409
Llc Transwestern Investment Group	Member	1 Apr 2011	75% - 100%	27-3789697
Robert Douglas Duncan	Member	1 Dec 2014	25% - 50%	5291409
Llc Transwestern Investment Group	Member	1 Sep 2015	75% - 100%	45-1535013

Based in Dallas

The principal office where Transwestern Investment Management, LLC performs its advisory services is located at 8235 Douglas Avenue, Dallas, TX 75225, which is also the mailing address of the firm. An additional office of the firm is in Houston, TX. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 214-572-9817. The normal business hours are 8:30a.m. - 5:30p.m. on Monday - Friday. You can find more information about the New York firm at transwesterninvest.com.