Guideline Investments, L.L.C. (San Mateo)

Name: Guideline Investments, L.L.C.
Address: 3050 S Delaware St, San Mateo, CA, 94403
Telephone: (888) 228-3491

Guideline Investments, L.L.C. is an internet adviser based in San Mateo. It manages $1.03 billion of regulatory assets for 5,878 client accounts. It has been registered with the SEC as an adviser since 2015 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 47 other states.

Guideline Investments, L.L.C provides pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Guideline Investments, L.L.C: assets under management

The assets under management (AUM) of Guideline Investments, L.L.C. is $1.03 billion. The firm's AUM has grown by 851655% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $737 million in discretionary accounts and $291 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $150.1 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $300.62 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 95% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 5% of the firm’s portfolio.

What kind of clients Guideline Investments, L.L.C serves?

The only and largest group of clients of Guideline Investments, L.L.C is pension and profit sharing plans with 5,878 clients and $1.03 billion of assets under management. Among the 11 most similar advisory firms, Guideline Investments, L.L.C has the highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $1.03 billion for 5,878 clients. None of the firm’s clients are foreign persons or businesses.

Guideline Investments, L.L.C doesn't advise any private funds.

Careers at Guideline Investments, L.L.C.

The company employs 108 people that are either part- or full-time employees. 2 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There are 7 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates 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
Inc. Guideline Technologies	Member	1 Sep 2015	75% - 100%	47-4474775
Carol Ho	Chief compliance officer	1 Sep 2015	Other	6565419

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Kevin Joseph Busque	Member	1 Jun 2015	25% - 50%	6565448
Michael David Nelson	Member	1 Jun 2015	25% - 50%	6565449
Jeremy Caballero	Owner	1 Jun 2015	25% - 50%	6621190
Kevin J. Busque	Shareholder	1 Jun 2015	25% - 50%	6565448
Michael D. Nelson	Shareholder	1 Jun 2015	25% - 50%	6565449

Based in San Mateo

The principal office where Guideline Investments, L.L.C. performs its advisory services is located at 3050 S Delaware St, San Mateo, CA 94403, which is also the mailing address of the firm. An additional office of the firm is in Portland, ME. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (888) 228-3491 or by fax N/A. The normal business hours are office visits by appointment only on Other. You can find more information about the New York firm at guideline.com.