Alex. Brown Investment Management, L L C (Baltimore)


Alex. Brown Investment Management, L L C is a large advisory firm based in Baltimore. It manages $2.58 billion of regulatory assets for 222 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of Maryland, Massachusetts, New Hampshire, and New York.

Alex. Brown Investment Management, L L C provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and market timing 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.

Alex. Brown Investment Management, L L C: assets under management

The assets under management (AUM) of Alex. Brown Investment Management, L L C is $2.58 billion. The firm's AUM has gone down by -68% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $2.5 billion in discretionary accounts and $80.81 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $12.93 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $2.79 million.
Alex. Brown Investment Management, L L C has custody of $6 million in cash and securities for 2 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Alex. Brown Investment Management, L L C for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Alex. Brown Investment Management, L L C

James Dorsey Brown has been acting as President since 1 Dec 2004. Brett David Rogers joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Nancy Inter Denney Chief compliance officer 1 Jul 2004 Other 1655412
James Dorsey Brown Director 1 Dec 2004 Other 32447
Robert Hutchings Vernon Director 1 Dec 2004 Other 1500769
Bruce Edwin Behrens Director/co-president 1 Dec 2004 25% - 50% 4346192
Hobart Charles Buppert Director 1 Dec 2004 25% - 50% 4346189
Lee Scott Owen Director/co-president 1 Dec 2004 25% - 50% 4346194
David Michael Churchill Treasurer & chief financial officer 1 Jul 2008 Other 2094155
Michael D Hankin President & chief executive officer 1 Jul 2008 Other 2339625
Llc Brown Advisory Management Sole owner & managing member 1 Jul 2008 75% - 100% w12634572
Brett David Rogers Chief compliance officer 1 Apr 2010 Other 4641164

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Hobart Charles Buppert Company membership interest 1 Jul 2008 25% - 50% 4346189
Bruce Edwin Behrens Company membership interest 1 Jul 2008 25% - 50% 4346192
Lee Scott Owen Company membership interest 1 Jul 2008 25% - 50% 4346194
Brown Advisory Holdings Incorporated Subsidiary 1 Jul 2008 25% - 50% 52-2112409
Lp Abs Capital V Member 1 Oct 2008 50% - 75% 68-0606080

Based in Baltimore

The principal office where Alex. Brown Investment Management, L L C performs its advisory services is located at 901 South Bond Street, Baltimore, MD 21231 3340, which is also the mailing address of the firm. An additional office of the firm is in Boston, MA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 410-537-5400 or by fax 410-537-6486. 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 www.abimltd.com.

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