Arlington Capital Management, Inc. (Arlington Heights)

Name: Arlington Capital Management, Inc.
Address: 21 S. Evergreen Avenue, Arlington Heights, IL, 60005 7800
Telephone: 847-670-4030

Arlington Capital Management, Inc. is a large advisory firm based in Arlington Heights. It manages $202.48 million of regulatory assets for 898 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Arizona, California, Illinois, and 4 other states.

Arlington Capital Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and 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.

Arlington Capital Management: assets under management

The assets under management (AUM) of Arlington Capital Management, Inc. is $202.48 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 679% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $202.48 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $225.48 thousand each.

Arlington Capital Management has custody of $76.01 million in cash and securities for 156 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 65% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 31% of the firm’s portfolio. Investments in exchange traded securities form 4% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Arlington Capital Management, Inc. for their services and products based on a percentage of assets under management and fixed 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 Joseph Frank Lopresti serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Joseph Frank Lopresti is high net worth individuals with 74 clients and $101.95 million of assets under management. Among the 9 most similar advisory firms, Arlington Capital Management has the 5th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $194.67 million for 284 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Arlington Capital Management doesn't advise any private funds.

Careers at Arlington Capital Management, Inc.

The company employs 10 people that are either part- or full-time employees. 60 percent of the employees work as investment advisers or researchers. 6 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 doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Joseph Frank Lopresti has been acting as President since 1 Mar 2001. John Thomas Hollahan joined the executive team most recently as the Chief Compliance Officer And Sr. Portfolio Manager.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Joseph Frank Lopresti	President	1 Mar 2001	25% - 50%	1386168
Richard Steven Babjak	Secretary/treasurer	1 Mar 2001	25% - 50%	2074968
Robert Daniel Yarosz	Vice president	1 Mar 2001	25% - 50%	2074974
Joseph Frank Lopresti	President, owner, chief compliance officer	1 Jul 2004	75% - 100%	1386168
John Thomas Hollahan	Designated principal and sr. portfolio manager	1 Apr 2014	Other	5876999
Ivan N/A Botnari	It manager	1 Jan 2016	Other	6761766
John Thomas Hollahan	Chief compliance officer and sr. portfolio manager	1 Jul 2016	Other	5876999

Based in Arlington Heights

The principal office where Arlington Capital Management, Inc. performs its advisory services is located at 21 S. Evergreen Avenue, Arlington Heights, IL 60005 7800, 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 847-670-4030 or by fax 847-670-4034. The normal business hours are 8:30 - 5:00 on Monday - Friday. You can find more information about the New York firm at arlington-capital.com.