Head And Associates, LLC (Portland)

Name: Head And Associates, LLC
Address: 121 Middle St, Portland, ME, 04101 4194
Telephone: 207-773-5333

Head And Associates, LLC is a large advisory firm based in Portland. It manages $500.93 million of regulatory assets for 399 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of California, Connecticut, Florida, and 6 other states.

Head And Associates provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, pension consulting services, 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.

Head And Associates: assets under management

The assets under management (AUM) of Head And Associates, LLC is $500.93 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $500.93 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.26 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Head And Associates, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Head And Associates, LLC

Carl Givens Gercke has been acting as President since 1 Apr 2006. Donald Lambing Head joined the executive team most recently as the Vice President And Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Donald Lambing Head	President and ceo	1 Apr 2006	Other	240919
Jennifer Skiffington Mogavero	Chief compliance officer	1 Apr 2006	Other	2369809
Carl Givens Gercke	Director	1 Apr 2006	Other	2186285
William Bradford Willauer	Director	1 Apr 2006	Other	467326
Steven A. Closson	Director	1 Apr 2006	Other	5136769
Dermot Thomas Healey	Director	1 Apr 2006	Other	240980
Pasquale F. Maiorino	Director	1 Apr 2006	Other	5136778
James A. Paltz	Director	1 Apr 2006	Other	5136781
Androscoggin Savings Bank	Owner	1 Apr 2006	75% - 100%	01-0020240
Steven Adams Closson	Director and member llc	1 Apr 2006	Other	5136769
Pasquale Francis Maiorino	Director and member llc	1 Apr 2006	Other	5136778
James Andrew Platz	Director and member llc	1 Apr 2006	Other	5136781
Ann Marie Mohammad	Vice president and chief compliance officer	1 Aug 2008	Other	5588185
Thomas Mckeen Cattell	Executive vice president, chief operating officer	1 Sep 2008	Other	5600350
Carl Givens Gercke	Executive vice president, director and member llc	1 Sep 2008	Other	2186285
Donald Lambing Head	Vice president and director	1 Apr 2009	Other	240919
Thomas Mckeen Cattell	Ceo and director	1 Apr 2009	Other	5600350

Based in Portland

The principal office where Head And Associates, LLC performs its advisory services is located at 121 Middle St, Portland, ME 04101 4194, 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 207-773-5333 or by fax 207-773-1735. The normal business hours are 8:30 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at www.headinvest.com.