Lateef Investment Management, LP. (San Rafael)

Name: Lateef Investment Management, LP.
Address: 1000 4 Th St, San Rafael, CA, 94901
Telephone: 415-461-3800

Lateef Investment Management, LP. is a large advisory firm based in San Rafael. It manages $886.81 million of regulatory assets for 360 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 47 other states.

Lateef Investment Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, 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.

Lateef Investment Management: assets under management

The assets under management (AUM) of Lateef Investment Management, LP. is $886.81 million. The firm's AUM has gone down by -71% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $849.17 million in discretionary accounts and $37.63 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.57 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.3 million.

Lateef Investment Management has custody of $11.13 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 94% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 6% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Lateef Investment Management, LP. 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 Lateef Investment Management serves?

The firm provides services to individuals, investment companies, charitable organizations, high net worth individuals, pooled investment vehicles, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Lateef Investment Management is individuals with 174 clients and $351.34 million of assets under management. Among the 9 most similar advisory firms, Lateef Investment Management has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $849.17 million for 331 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.

Lateef Investment Management also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at Lateef Investment Management, LP.

The company employs 9 people that are either part- or full-time employees. 44 percent of the employees work as investment advisers or researchers. 2 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.

Kouji Yamada joined the executive team most recently as the Chief Investment Officer Of Global Equity.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Sole Trustee Of Revocable Trust Agreement Of Khateeb Afsar Lateef And Patricia Ann Lateef Khateeb Afsar Lateef	Limited partner	1 Jan 1974	Other	xxx-xx-xxxx
Sole Trustee Of Roland D. And Giti Underhill 1991 Trust Roland D. Underhill	Limited partner	1 Jan 1994	25% - 50%	xxx-xx-xxxx
Sole Trustee Of Ryan F. Willson And Cynthia R. Willson Living Trust Ryan F. Willson	Limited partner/chief executive officer	1 Jan 2001	25% - 50%	xxx-xx-xxxx
Trustee Justus H. And Theresa Y. Leachman Revocable Family Trust Justus H. Leachman	Limited partner	1 Jan 2003	Other	xxx-xx-xxxx
Scott Andrew Chapman	Limited partner	1 Jan 2003	Other	3175257
Justus H. Leachman	Chief compliance officer	1 Jan 2003	Other	3000533
Llc. Lateef Capital Partners	General partner	1 Jul 2006	Other	20-5235967
Quoc Kinh Tran	Limited partner	1 Jan 2007	Other	2808598
Ryan Faulk Willson	Chief executive officer	1 Jan 2008	Other	2495155
Jennifer Leigh Lavin	Limited partner	1 Apr 2008	Other	2844303
John Richard Shepherd	Limited partner	1 Apr 2008	Other	732037
Robert J Horvath	Chief compliance officer	1 Sep 2008	Other	4582013
Lp Rosemont Partners Ii	Limited partner	1 Jan 2009	Other	11-3682739
James Michael Tarkenton	Limited partner	1 Feb 2009	Other	5090436
Matthew Francis Sauer	Limited partner	1 Dec 2012	Other	2326496
Heather Nicole Slate	Chief compliance officer	1 Dec 2012	Other	2698629
Richard Daniel Beckham	Chief operating officer	1 Dec 2012	Other	1549769
Emily March Eisenbarth	Limited partner/chief operating officer	1 Dec 2013	Other	5371725
Eric Arthur Winterhalter	Limited partner	1 Dec 2014	Other	2264641
Emily March Eisenbarth	Chief compliance officer	1 Aug 2015	Other	5371725
Jennifer Leigh Lavin	Assignee, economic interest	1 Dec 2016	Other	2844303
Eric Arthur Winterhalter	Chief operating officer	1 Jan 2017	Other	2264641
Kathleen Van Der Wal	Chief compliance officer	1 Jan 2017	Other	1615263
Llc Lateef General Partner	General partner	1 May 2017	Other	82-1386637
Llc Lateef Management	Limited partner	1 May 2017	50% - 75%	82-1405951
Llc Lateef Mgl	Limited partner	1 May 2017	25% - 50%	81-5333411
Kouji Yamada	Chief investment officer of global equity	1 Mar 2018	Other	2492068

Indirect Owners

The SEC currently registers 15 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Charles B. Burkhart	Manager	1 May 2000	Other	4511598
Llc Rosemont Investment Partners Ii	General partner	1 Mar 2004	Other	01-0847563
Llc Rosemont Investment Partners	Manager	1 Mar 2004	Other	06-1572887
Ryan F. Willson	Limited partner	1 Jul 2006	Other	xxx-xx-xxxx
Sole Trustee Of Revocable Trust Agreement Of Khateeb Afsar Lateef And Patricia Ann Lateef Khateeb Afsar Lateef	Managing member	1 Jul 2006	Other	xxx-xx-xxxx
Sole Trustee Of Roland D And Giti Underhill 1991 Trust Roland D. Underhill	Managing member	1 Jul 2006	Other	xxx-xx-xxxx
Trustee Of Justus H. And Theresa Y. Leachman Revocable Family Trust Justus H. Leachman	Managing member	1 Jul 2006	Other	xxx-xx-xxxx
Sole Trustee Of Ryan F. Willson And Cynthia R. Willson Living Trust Ryan F. Willson	Managing member	1 Jul 2006	Other	xxx-xx-xxxx
Scott Andrew Chapman	Managing member	1 Jul 2006	Other	3175257
Khateeb Afsar Lateef	Limited partner	1 Jul 2006	Other	xxx-xx-xxxx
Llc Mccarthy Group	Partner limited liability	1 Jan 2007	75% - 100%	84-1720665
David Diblee Silvera	Managing member	1 Jan 2009	Other	1563838
Quoc Kinh Tran	Managing partner	1 May 2017	50% - 75%	2808598
Eric Arthur Winterhalter	Managing partner	1 May 2017	25% - 50%	2264641
Llc Mg Financial	Partner limited liability	1 May 2017	75% - 100%	47-2486231

Based in San Rafael

The principal office where Lateef Investment Management, LP. performs its advisory services is located at 1000 4 Th St, San Rafael, CA 94901, 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 415-461-3800 or by fax 415-461-0436. The normal business hours are 6:30 am t0 5:00 pm on Monday - Friday. You can find more information about the New York firm at lateef.com.