Rimrock Capital Management LLC (Irvine)

Name: Rimrock Capital Management LLC
Address: 100 Innovation Drive, Irvine, CA, 92617 3040
Telephone: 949-381-7800

Rimrock Capital Management LLC is a large advisory firm based in Irvine. It manages $12.34 billion of regulatory assets for 24 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdiction of California.

Rimrock Capital Management provides portfolio management for investment companies, 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.

Rimrock Capital Management: assets under management

The assets under management (AUM) of Rimrock Capital Management LLC is $12.34 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 8588% since the beginning of its operation, and $11.88 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $12.34 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $514.03 million each.

Rimrock Capital Management has custody of $3.66 billion in cash and securities for 19 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in pooled investment vehicles the most. They account for 47% of the total AUM. The second-largest asset type is government bonds, which make up 45% of the firm’s portfolio. Investments in derivatives form 6% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rimrock Capital Management LLC 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 Rimrock Capital Management serves?

The firm provides services to investment companies, charitable organizations, and pooled investment vehicles. The largest group of clients of Rimrock Capital Management is pooled investment vehicles with 18 clients and $11.67 billion of assets under management. Among the 11 most similar advisory firms, Rimrock Capital Management has the 4th highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $12.34 billion for 24 clients. 50% of the firm’s clients are foreign persons or businesses.

Rimrock Capital Management also advises several private funds. Namely, six hedge funds. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at Rimrock Capital Management LLC

The company employs 34 people that are either part- or full-time employees. 41 percent of the employees work as investment advisers or researchers. 6 employees are registered as investment adviser representatives with the state securities authorities.

There are 2 people 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
David Hanibal Edington	Managing director	1 Dec 1999	Other	1812587
David Edington	Managing director	1 Dec 1999	50% - 75%	1812587
Christopher Lee Chester	Managing director	1 Jun 2001	Other	3171654
Stephen Andrew Foulke	Chief risk officer, managing director	1 Jun 2002	Other	4588077
Paul Cyril Westhead	Chief executive officer, managing director	1 Jul 2004	Other	2332811
Santino Blumetti	Managing director	1 Jul 2006	Other	2581415
Jeffrey Michael Saye	Managing director	1 Jun 2009	Other	2862181
Greg Miller	Managing director	1 Jun 2009	Other	5074231
Scott Brian Dubchansky	Chief compliance officer	1 Jul 2012	Other	1103806
L.P. Rimrock Capital Management	Member of rimrock capital management, llc	1 Dec 2012	75% - 100%	90-0920104
Llc Rimrock Gp	Managing member of rimrock capital management, llc, general partner of rimrock capital management l.p.	1 Dec 2012	Other	46-1612445
Gordon Richard Nicholson	Chief compliance officer	1 May 2013	Other	2664716
Scott Brian Dubchansky	Managing director	1 Oct 2013	Other	1103806
Christopher Paul Sullivan	Independent director	1 Oct 2013	Other	2035133
Paul Adriaan Van Lingen	Managing director	1 Dec 2013	Other	4386443
Robert S De Leon	Chief compliance officer, general counsel	1 Jan 2014	Other	5468335
Robert S De Leon	Chief compliance officer, general counsel	1 Oct 2014	Other	5468335
Barbara Anna Crowell	Chief financial officer	1 Dec 2014	Other	5969826

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Edington Living Trust	Partner	1 Dec 1999	50% - 75%	3015532
Paul Cyril Westhead	Partner	1 Jul 2006	Other	2332811
Scott Brian Dubchansky	Partner	1 Dec 2013	Other	1103806

Based in Irvine

The principal office where Rimrock Capital Management LLC performs its advisory services is located at 100 Innovation Drive, Irvine, CA 92617 3040, 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 949-381-7800 or by fax 949-272-5154. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at rimrockcapital.com.