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Asset Allocation & Management Company, LLC (Chicago)


Asset Allocation & Management Company, LLC is a large advisory firm based in Chicago. It manages $24.7 billion of regulatory assets for 116 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Illinois and Minnesota.

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Asset Allocation & Management Company provides 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.

Asset Allocation & Management Company: assets under management

The assets under management (AUM) of Asset Allocation & Management Company, LLC is $24.7 billion. The firm's AUM has grown by 148% since the beginning of its operation, and $3.5 billion of the total AUM is attributable to clients outside of the United States.


The firm manages $23.11 billion in discretionary accounts and $1.59 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $202.74 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $795.21 million.

Investments

The firm invests in other assets the most. They account for 29% of the total AUM. The second-largest asset type is state and local bonds, which make up 10% of the firm’s portfolio. Investments in government bonds form 8% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Asset Allocation & Management Company, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Eric Byck Goodman serves?

The only and largest group of clients of Eric Byck Goodman is insurance companies with 116 clients and $24.7 billion of assets under management. Among the 11 most similar advisory firms, Asset Allocation & Management Company has the highest percentage of insurance companies out of all clients.


The amount of regulatory assets under management is $24.7 billion for 116 clients. 3% of the firm’s clients are foreign persons or businesses.

Asset Allocation & Management Company doesn't advise any private funds.

Careers at Asset Allocation & Management Company, LLC

The company employs 49 people that are either part- or full-time employees. 57 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives 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 compensates employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Eric Byck Goodman has been acting as President since 1 Dec 2014. Reed J Nuttall has served as the Chief Investment Officer since 1 Oct 2004. Timothy J. Senechalle joined the executive team most recently as the Director.

Direct owners and executive officers



Name Entity Date acquired Ownership Employer ID
Andrew Michael Jarmel Member 1 Mar 2001 Other 4356790
Barry George Hoyt Member 1 Mar 2001 Other 4356803
Peter Spyridon Mavrogenes Member 1 Mar 2001 Other 4356938
Mark William Shelstad Member 1 Mar 2001 Other 4363128
Steven Wayne Guyer Member 1 Mar 2001 Other 4356949
Harry Clay Johnston Member 1 Mar 2001 Other 4356947
Harrison G. Starrett Member 1 Mar 2001 Other 4363122
Kathy Roseanne Lange Member 1 Mar 2001 Other 1359987
Patrick Armand Livney Member 1 Mar 2001 Other 1547243
Ltd. Rbf Investment Member 1 Mar 2001 Other 36-4058316
Inc. Guyco Member 1 Mar 2001 Other 36-3809165
Inc. Emstead Member 1 Mar 2001 Other 36-3498857
Inc. Klangco Member 1 Mar 2001 Other 36-4182213
Inc. Ryco Member 1 Mar 2001 Other 36-3842934
Inc. Zenco Member 1 Mar 2001 Other 36-4273127
Inc. Mavco Member 1 Mar 2001 Other 36-3355088
Hawkeye Investment Management Corp. Member 1 Mar 2001 Other 36-4394304
Ltd. Gacyma Member 1 Mar 2001 Other 36-3991791
Inc. Anbar Member 1 Mar 2001 Other 36-3179425
Inc. Palco Member 1 Mar 2001 Other 36-4423909
David Emerson Oddon Member 1 Mar 2001 Other 4356942
Inc. Nodgo Member 1 Mar 2001 Other 36-3544568
Cenco Investment Llc Investment fund 1 Jun 2001 25% - 50% 04-3552488
Andrew Michael Jarmel Director 1 Mar 2002 Other 4356790
John Larkin Schaefer President, managing member 1 Apr 2002 Other 1867983
Randall Keach Zeller Prsident & chief operating officer 1 Apr 2002 Other 829504
Scott F. Kauffman Chief financial officer 1 Nov 2002 Other 4637543
Ccp Iii Investment fund 1 Jun 2003 25% - 50% 04-3582957
Harry Clay Johnston Consultant 1 Jun 2003 Other 4356947
Mark John Steiger Chief compliance officer 1 May 2004 Other 4865174
Mark J. Steiger Chief compliance officer 1 May 2004 Other 4865174
Darlene Hazel Richards Chief financial officer 1 Jun 2004 Other 4924056
Darlene H. Richards Chief financial officer 1 Jun 2004 Other 4924056
Reed J Nuttall Chief investment officer 1 Oct 2004 Other 4142643
James Bernard Stradtner Chairman of the board 1 Apr 2005 Other 437871
Davis R. Fulkerson Director 1 Jun 2005 Other 4356145
Inc. Schaefco Member 1 Dec 2007 Other 20-2163018
Reed J Co Member 1 Dec 2007 Other 25-1910322
Mark William Shelstad Director 1 Dec 2007 Other 4363128
L.P. Trident Iv Investment fund 1 Dec 2007 50% - 75% 98-0509277
James Dawson Carey Director 1 Dec 2007 Other 2656436
Nicolas Zerbib Director 1 Dec 2007 Other 5473031
David Wermuth Director 1 Dec 2007 Other 5473034
Nicolas David Zerbib Director, member 1 Dec 2007 Other 5473031
David Jay Wermuth Director, member 1 Dec 2007 Other 5473034
Kbw Capital Partners I Investment fund 1 Dec 2007 Other 13-4354157
Inc. Trident Aam Holdings Member 1 Dec 2007 50% - 75% 90-0481794
Inc. Bravco Member 1 Jan 2010 Other 20-2146106
Inc. Bravo Member 1 Jan 2010 Other 20-2146106
Fayez Sami Muhtadie Director 1 May 2012 Other 4015917
John Francis Shettle Director 1 May 2012 Other 6178221
Eric Byck Goodman Director 1 Dec 2014 Other 4352804
Llc Securian Aam Holdings Member 1 Dec 2014 50% - 75% 90-0481794
Christopher Roman Sebald Director 1 Dec 2014 Other 4353430
Christopher Michael Hilger Director 1 Dec 2014 Other 6439314
Joe Allen Borgmann Chief financial officer 1 Mar 2017 Other 6770255
Joseph Allen Borgmann Chief financial officer 1 Mar 2017 Other 6770255
Robert Gordon Diedrich Director 1 Dec 2017 Other 6890277
Siddharth Subhash Gandhi Director 1 Dec 2017 Other 5038765
Timothy J. Senechalle Director 1 Apr 2018 Other 6997375

Indirect Owners

The SEC currently registers 17 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc. Securian Financial Group Shareholder 1 Oct 1998 75% - 100% 41-1919752
L.P. Trident Capital Iv General partner 1 Dec 2006 Other 98-0509278
Llc Cd Trident Iii General partner 1 Dec 2006 Other xxx-xx-xxxx
Llc Mh Trident Iii General partner 1 Dec 2006 Other xxx-xx-xxxx
Llc Jc Trident Gp General partner 1 Dec 2006 Other xxx-xx-xxxx
Llc Dw Trident Gp General partner 1 Dec 2006 Other xxx-xx-xxxx
Llc Nz Trident Gp General partner 1 Dec 2006 Other xxx-xx-xxxx
Charles Arthur Davis Managing member 1 Dec 2006 75% - 100% 816660
James Dawson Carey Managing member 1 Dec 2006 75% - 100% 2656436
Meryl Deborah Hartzband Managing member 1 Dec 2006 75% - 100% 5888699
David Jay Wermuth Managing member 1 Dec 2006 75% - 100% 5473034
Nicolas David Zerbib Managing member 1 Dec 2006 75% - 100% 5473031
John Larkin Schaefer Managing member 1 Dec 2007 75% - 100% 1867983
Reed J Nuttall Managing member 1 Dec 2007 75% - 100% 4142643
Llc Trident Aam Holdings Shareholder 1 Dec 2007 75% - 100% 26-1504968
Marco Anthony Bravo Managing member 1 Jan 2010 75% - 100% 5906195
Minnesota Life Insurance Company Shareholder 1 Dec 2014 75% - 100% 41-0417830

Based in Chicago

The principal office where Asset Allocation & Management Company, LLC performs its advisory services is located at 30 West Monroe Street, Chicago, IL 60603 2405, which is also the mailing address of the firm. An additional office of the firm is in Saint Paul, MN. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 312-263-2900 or by fax 312-263-1196. The normal business hours are 8:00 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at aamcompany.com.


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