Spm Jr., L.L.C. (Stamford)


Spm Jr., L.L.C. is a large advisory firm based in Stamford. It manages $204.74 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdiction of Connecticut.

Spm Jr., L.L.C provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Spm Jr., L.L.C: assets under management

The assets under management (AUM) of Spm Jr., L.L.C. is $204.74 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 94% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $204.74 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $68.25 million each.
Spm Jr., L.L.C has custody of $204.74 million in cash and securities for 3 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Spm Jr., L.L.C. 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.

Careers at Spm Jr., L.L.C.

Kenneth Cron has been acting as President since 1 Apr 2007. Nicholas Pierre Vassalli joined the executive team most recently as the Managing Director.

Direct owners and executive officers



Name Entity Date acquired Ownership Employer ID
Donald Ian Brownstein Chief executive officer 1 Feb 2003 Other 4364423
Christopher Russell Chief operating officer 1 Feb 2003 Other 4364432
Structured Portfolio Management Llc Owner/member/manager 1 Feb 2003 75% - 100% 108756
William Leong Mok Managing director 1 Feb 2003 Other 1904217
Christopher Gerard Russell Chief operating officer 1 Feb 2003 Other 4364432
Yong Liu Managing director 1 Feb 2003 Other 4364438
Jeffrey Kong Managing director 1 Feb 2003 Other 1653091
Jenelle Renee Scanlon Compliance officer/vice president 1 Apr 2003 Other 4761996
Jenelle Scanlon Compliance officer/assistant vice president 1 Mar 2004 Other 4761996
Jenelle Renee Scanlon Compliance officer/assistant vice president 1 Mar 2004 Other 4761996
Llc Nsp Owner (class b interest) 1 Apr 2006 75% - 100% 51-0666918
Llc Structured Affiliates Owner (class b interest) 1 Apr 2006 75% - 100% 51-0666918
Kenneth Cron President 1 Apr 2007 Other 5316858
Ward James Mcgraw Chief financial officer 1 Jul 2008 Other 2039132
Nicholas Pierre Vassalli Managing director 1 Mar 2011 Other 5444049
Timothy John Yves Roberts Managing director 1 Mar 2011 Other 2307754

Indirect Owners

The SEC currently registers 32 indirect owners.

Name Entity Date acquired Ownership Employer ID
Ronald Warren Sellers Owner 1 Jun 1996 25% - 50% 1474762
Donald Ian Brownstein Managing member 1 Oct 1996 50% - 75% 4364423
L.L.C Upper Shad Associates Member manager 1 Mar 1997 25% - 50% 13-3921476
Mizuho Corporate Bank (Usa) Owner 1 Jul 1999 75% - 100% xxx-xx-xxxx
L.L.C. Atlantic Asset Management Owner/member/manager 1 Jan 2000 25% - 50% 22-3484717
Mizuho Corporate Bank Ltd. Owner 1 Jan 2002 75% - 100% xxx-xx-xxxx
Inc Mizuho Holdings Owner 1 Jan 2002 75% - 100% xxx-xx-xxxx
Inc. Mizuho Financial Group Owner 1 Jan 2002 75% - 100% xxx-xx-xxxx
Putnam Lovell Equity Advisors Llc General partner 1 Jun 2003 Other 95-4802253
Services Depot Cdpq Us Inc Limited partner 1 Jun 2003 25% - 50% 00-0000000
Pf Insurance Company Limited partner 1 Jun 2003 25% - 50% 39-0989781
Putnam Lovell Capital Partners Inc. Managing member 1 Jun 2003 75% - 100% 95-4653753
Putnam Lovell Group Inc. Sole shareholder 1 Jun 2003 75% - 100% 95-3283346
National Bank Of Canada Sole shareholder 1 Jun 2003 75% - 100% 00-0000000
Caisse Depot El Placement Du Quebec Shareholder 1 Jun 2003 75% - 100% 00-0000000
Aegon Usa Inc. Shareholder 1 Jun 2003 75% - 100% 42-1310237
Aegon N.V. Shareholder 1 Jun 2003 75% - 100% 00-0000000
Lp Putnam Lovell Equity Partners Owner 1 Jun 2003 25% - 50% 95-48022576
Lovell Minnick Equity Advisors Llc General partner 1 Jun 2003 Other 95-4802253
Pf Life Insurance Company Limited partner 1 Jun 2003 25% - 50% 39-0989781
Lovell Minnick Equity Partners Lp Owner 1 Jun 2003 25% - 50% 95-48022576
Llc Lovell Minnick Partners Sole managing member 1 Feb 2004 Other 20-0493456
Lovell Minnick Holdings Llc Sole managing member 1 Feb 2004 Other 20-0498914
Jeffrey Dale Lovell Co-managing member 1 Feb 2004 50% - 75% 1095362
James Edward Minnick Co-managing member 1 Feb 2004 25% - 50% 716204
Jennings Jay Newcom Co-managing member 1 Feb 2004 25% - 50% 4358060
Bowman Partners Lp Limited partner 1 Nov 2004 25% - 50% 00-0000000
Bowman Partners Gp Co. General partner 1 Nov 2004 Other 00-0000000
Frank Russell Investments (Cayman) Ltd. Shareholder 1 Nov 2004 75% - 100% 00-0000000
Frank Russell Company Shareholder 1 Nov 2004 75% - 100% 91-117509
Pantheon Global Secondary Fund Ii Limited Limited partner 1 Nov 2004 25% - 50% 00-0000000
L.L.C. Structured Partners Owner 1 Dec 2007 25% - 50% 20-3275532

Based in Stamford

The principal office where Spm Jr., L.L.C. performs its advisory services is located at Clearwater House, 2187 Atlantic Street, 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 203-351-2870 or by fax 203-351-2879. The normal business hours are 9:00am-5:00pm on Monday - Friday.