Great West Capital Management, LLC (Greenwood Village)

Great West Capital Management, LLC is a large advisory firm based in Greenwood Village. It manages $39.55 billion of regulatory assets for 31 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 47 other states.

Great West Capital Management provides portfolio management for investment companies, portfolio management for pooled investment vehicles, selection of other advisers, and insurance company separate accounts. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Great West Capital Management: assets under management

The assets under management (AUM) of Great West Capital Management, LLC is $39.55 billion. The firm's AUM has grown by 92% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $39.52 billion in discretionary accounts and $31.59 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.32 billion each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $31.59 million.

Investments

The firm invests in investment and business development companies the most. They account for 73% of the total AUM. The second-largest asset type is other assets, which make up 20% of the firm’s portfolio. Investments in pooled investment vehicles form 7% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Great West Capital 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.

What kind of clients Great West Capital Management serves?

The firm provides services to insurance companies, investment companies, pooled investment vehicles, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Great West Capital Management is investment companies with 1 clients and $28.65 billion of assets under management. Among the 8 most similar advisory firms, Great West Capital Management has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $39.55 billion for 31 clients. None of the firm’s clients are foreign persons or businesses.

Great West Capital Management also advises several private funds. Namely, eleven other private funds.

Careers at Great West Capital Management, LLC

The company employs 142 people that are either part- or full-time employees. 34 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative 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
Beverly Ann Byrne	Senior vice president & chief compliance officer	1 Oct 2005	Other	1983774
Charles Patrick Nelson	Manager	1 Jun 2008	Other	1161349
Seguard Mark Corbett	Chairman, president & manager	1 Jun 2008	Other	4363865
Catherine Susan Tocher	Manager & senior vice president	1 Mar 2009	Other	2820887
Ryan Lynn Logsdon	Secretary	1 Apr 2010	Other	4088802
Robert Kenneth Shaw	Manager	1 Jul 2011	Other	1224633
David George Mcleod	Senior vice president & managing director	1 Apr 2012	Other	3041563
Mary Carol Maiers	Chief financial officer & treasurer	1 Mar 2014	Other	4468209
Catherine Susan Tocher	Senior vice president & chief investment officer	1 Mar 2014	Other	2820887
Robert Kenneth Shaw	Chairman, president and chief executive officer	1 Mar 2014	Other	1224633
Ryan Lynn Logsdon	Assistant vice president, counsel & secretary	1 Mar 2014	Other	4088802
Ronald John Laeyendecker	Manager	1 Mar 2014	Other	2420179
Joel Leslie Terwilliger	Assistant vice president & counsel	1 Apr 2014	Other	4856510
John Andrew Clouthier	Assistant treasurer	1 Apr 2014	Other	2360700
Andrew N Corwin	Assistant portfolio manager	1 Apr 2014	Other	5543822
Bruce Gordon Masters	Portfolio manager	1 May 2014	Other	2697223
Seguard Mark Corbett	Evp and global chief investment officer	1 May 2014	Other	4363865
David Lawrence Musto	Manager	1 May 2014	Other	2623276
Thone Lynn Gdovin	Portfolio manager	1 Dec 2014	Other	2516089
Jonathan David Kreider	Portfolio manager	1 Apr 2015	Other	6113947
Cara Jean Bottjen Owen	Assistant secretary	1 May 2015	Other	6525215
Beverly Ann Byrne	Senior vice president, legal & chief compliance officer	1 Jun 2015	Other	1983774
Catherine Susan Tocher	Manager, senior vice president & chief investment officer	1 Jun 2015	Other	2820887
Robert Kenneth Shaw	Manager, chairman, president and chief executive officer	1 Jun 2015	Other	1224633
Ryan Lynn Logsdon	Assistant vice president, counsel & secretary	1 Jun 2015	Other	4088802
David George Mcleod	Manager, senior vice president & managing director	1 Jun 2015	Other	3041563
Jonathan David Kreider	Portfolio manager	1 Jun 2015	Other	6113947
Ryan Lynn Logsdon	Vice president, counsel & secretary	1 Dec 2015	Other	4088802
Cara Jean Bottjen Owen	Counsel & assistant secretary	1 Dec 2015	Other	6525215
Jack Edward Brown	Portoflio manager	1 Apr 2016	Other	2602528
Robert Kenneth Shaw	Manager	1 May 2016	Other	1224633
David George Mcleod	Manager	1 May 2016	Other	3041563
David Lawrence Musto	Chairman, president and ceo	1 May 2016	Other	2623276
Kenneth I Schindler	Chief compliance officer	1 May 2016	Other	1748344
Jack Edward Brown	Portfolio manager	1 May 2016	Other	2602528
Edmund Francis Murphy	Manager	1 May 2016	Other	1317615
Kelly Blanchard New	Assistant treasurer	1 May 2016	Other	6003857
Semen Yakovlevich Moyn	Assistant portfolio manager	1 May 2016	Other	4610227
Nathan Simons	Assistant portfolio manager	1 May 2016	Other	6777434
Andrew N Corwin	Assistant portfolio manager	1 May 2016	Other	5543822
Katherine Leann Stoner	Cco, head of compliance	1 Aug 2016	Other	1221867
William Stevens Harmon	Manager	1 Dec 2016	Other	1875127
Andrew N Corwin	Manager, portfolio construction	1 Apr 2017	Other	5543822
Rebecca Leigh Dugan	Assistant portfolio manager	1 Jun 2017	Other	5032358
Jack Edward Brown	Manager, svp separate accounts	1 Aug 2017	Other	2602528
Rebecca Leigh Dugan	Portfolio manager	1 Aug 2017	Other	5032358
Joseph Michael Smolen	Manager	1 Aug 2017	Other	4100909
Scott Charles Sipple	President and chief executive officer	1 Oct 2017	Other	1445010
Michael S Knowles	Counsel & assistant secretary	1 Jan 2018	Other	6924670
Maria Lynn Mendelsberg	Portfolio manager	1 Apr 2018	Other	4541246
Cara Jean Bottjen Owen	Senior counsel & assistant secretary	1 Apr 2018	Other	6525215
Christine Marie Moritz	Manager	1 Aug 2018	Other	7005526
Richard Henry Linton	Manager	1 May 2019	Other	2107513
Adam Kavan	Senior counsel & assistant secretary	1 Jul 2019	Other	7155499

Indirect Owners

The SEC currently registers 9 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Paul Guy Desmarais	Shareholder, director	1 May 1968	50% - 75%	1498207
Power Financial Corporation	Shareholder	1 Mar 1986	50% - 75%	foreign entity
171263 Canada Inc.	Shareholder	1 Mar 1988	50% - 75%	foreign entity
Power Corporation Of Canada	Shareholder	1 Dec 1988	75% - 100%	foreign entity
Great West Life & Annuity Insurance Company	Parent company	1 Jun 1994	75% - 100%	84-0467907
Gwl&A Financial Inc.	Shareholder	1 Dec 1998	75% - 100%	84-1474245
Great West Financial (Canada) Inc.	Shareholder	1 Jan 2001	75% - 100%	foreign entity
Great West Lifeco Inc.	Shareholder	1 Jan 2001	75% - 100%	foreign entity
Great West Financial (Nova Scotia) Co.	Shareholdr	1 Aug 2007	75% - 100%	foreign entity

Based in Greenwood Village

The principal office where Great West Capital Management, LLC performs its advisory services is located at 8515 East Orchard Road, Greenwood Village, CO 80111, 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 303-737-3000 or by fax 303-737-3827. The normal business hours are 8am - 5pm mt on Monday - Friday.