Ecm Asset Management Limited (London)

Name: Ecm Asset Management Limited
Address: 33 King William Street, London, Ec4 R 9 At
Telephone: 44 203 942 8000

Ecm Asset Management Limited is a large advisory firm based in London. It manages $2.1 billion of regulatory assets for 18 client accounts. It has been registered with the SEC as an adviser since 2012.

Ecm Asset Management Limited 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.

Ecm Asset Management Limited: assets under management

The assets under management (AUM) of Ecm Asset Management Limited is $2.1 billion. The firm's AUM has gone down by -78% since the beginning of its operation, and $2.1 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $2.08 billion in discretionary accounts and $26.33 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $122.23 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $26.33 million.

Investments

The firm invests in investment grade corporate bonds the most. They account for 42% of the total AUM. The second-largest asset type is non-investment grade corporate bonds, which make up 39% of the firm’s portfolio. Investments in government bonds form 16% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ecm Asset Management Limited 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 Michael Niedermeyer serves?

The firm provides services to investment companies, pooled investment vehicles, and corporations or other businesses. The largest group of clients of Michael Niedermeyer is pooled investment vehicles with 14 clients and $1.87 billion of assets under management. Among the 8 most similar advisory firms, Ecm Asset Management Limited has the 4th highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $2.1 billion for 18 clients. 100% of the firm’s clients are foreign persons or businesses.

Ecm Asset Management Limited also advises several private funds. Namely, one securitized asset fund. The minimum investment commitment required of non-related persons is $140,378 for each fund.

Careers at Ecm Asset Management Limited

The company employs 40 people that are either part- or full-time employees. 63 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 3 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 receive compensation from other entities for client referrals.

Michael Niedermeyer has been acting as President since 1 May 2009. Ross Alger Pamphilon has served as the Chief Investment Officer since 1 Nov 2014. Catherine Jane Ibbotson joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Stephen Martin Zinser	Ceo/director	1 Mar 1999	Other	4707692
Julian Vincent Campbell	Chief compliance officer/chief legal officer	1 Jun 2002	Other	4843281
Ecm Holdings Limited	Shareholder	1 Jan 2007	75% - 100%	foreign
Thomas Karl Hoops	Director	1 Feb 2009	Other	5156895
Michael Niedermeyer	Director	1 May 2009	Other	1660825
Frances Ann Hutchinson	Head of business & strategic planning	1 Sep 2010	Other	5507878
James Craig Johnston	Director	1 Jan 2012	Other	6097149
N.A. Wells Fargo Bank	Direct parent company	1 Feb 2012	75% - 100%	94-1347393
Karla Marie Rabusch	Director	1 Feb 2013	Other	1624644
Kirk Douglas Hartman	Director	1 Mar 2014	Other	1913310
Ross Alger Pamphilon	Chief investment officer	1 Nov 2014	Other	6629783
Andrew John Hunt	Director	1 Feb 2015	Other	6459916
Deirdre Elizabeth Flood	Director	1 Sep 2015	Other	5226285
Frank Anthony Pizzo	Director	1 Dec 2015	Other	2355975
Mandip Sohal	Chief compliance officer	1 Jan 2016	Other	5527266
Hadbo Investments Cv	Shareholder	1 Dec 2016	25% - 50%	foreign
Island Finance Holding Company	Shareholder	1 Dec 2016	75% - 100%	foreign
Catherine Jane Ibbotson	Chief compliance officer	1 Sep 2017	Other	6864186

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Wfc Holdings Corporation	Shareholder	1 Nov 1998	75% - 100%	41-1921346
Evergreen Ecm Holdings B.V.	Shareholder	1 Dec 2006	75% - 100%	foreign
Danube Holdings Iii C.V.	Shareholder	1 Dec 2006	75% - 100%	foreign
Wells Fargo & Company	Shareholder	1 Dec 2008	75% - 100%	41-0449260
Llc Wells Fargo Financial	Shareholder	1 Mar 2017	75% - 100%	need
Wells Fargo Financial Fund B.V.	Shareholder	1 Mar 2017	Other	foreign

Based in London

The principal office where Ecm Asset Management Limited performs its advisory services is located at 33 King William Street, London, Ec4 R 9 At, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 44 203 942 8000 or by fax 44 203 014 1190. The normal business hours are 0400-1300hrs (est) on Monday - Friday. You can find more information about the New York firm at ecm.com.