Promus Capital, LLC (Chicago)


Promus Capital, LLC is a large advisory firm based in Chicago. It manages $690.59 million of regulatory assets for 358 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdictions of Florida, Illinois, Michigan, and Texas.

Promus Capital provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, selection of other advisers, and family office 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.

Promus Capital: assets under management

The assets under management (AUM) of Promus Capital, LLC is $690.59 million. The firm's AUM has grown by 429% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $240.91 million in discretionary accounts and $449.68 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $723.45 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $17.99 million.
Promus Capital has custody of $167.41 million in cash and securities for 45 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in pooled investment vehicles the most. They account for 65% of the total AUM. The second-largest asset type is investment and business development companies, which make up 18% of the firm’s portfolio. Investments in exchange traded securities form 10% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Promus Capital, LLC 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.

What kind of clients James Walter Guthrie serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of James Walter Guthrie is high net worth individuals with 57 clients and $647.72 million of assets under management. Among the 6 most similar advisory firms, Promus Capital has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $658.28 million for 80 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.

Promus Capital doesn't advise any private funds.

Careers at Promus Capital, LLC

The company employs 20 people that are either part- or full-time employees. 55 percent of the employees work as investment advisers or researchers. 7 employees are registered as investment adviser representatives with the state securities authorities.

There are 3 people 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.

James Walter Guthrie has been acting as President since 1 Jan 2014. Robert Douglas Newman joined the executive team most recently as the Manager.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Brian B. Musso Manager 1 May 2008 Other 5584942
J. Zachary Musso Manager 1 May 2008 Other 5573642
Llc Promus Holdings Member 1 May 2008 75% - 100% 20-5708563
Llc Musso Capital Management Member 1 May 2008 75% - 100% 20-5708563
Terence John Toth Manager 1 May 2008 Other 4501033
Jeremiah Scott Boynton Chief compliance officer 1 Sep 2010 Other 4313911
James Walter Guthrie President 1 Jan 2014 Other 4332527
Ryan Paul Crawford Chief compliance officer 1 Mar 2014 Other 5492540
Timothy George Major Chief financial officer 1 Apr 2014 Other 1087396
Robert Douglas Newman Manager 1 Mar 2015 Other 2068568

Indirect Owners

The SEC currently registers 15 indirect owners.

Name Entity Date acquired Ownership Employer ID
Awc Designated Beneficiaries Trust Fund I General partner 1 Jun 1994 Other 36-7079715
Skc Designated Beneficiaries Trust Fund I General partner 1 Jun 1994 Other 36-7079716
Andrew W. Code Trustee 1 Jun 1994 Other 5600579
Skc Designated Beneficiares Trust Fund I General partner 1 Jun 1994 Other 36-7079716
Andrew W. Code Children's Trust Dated 12/19/94 F/B/O Adam J. Code Owner 1 Jun 1994 25% - 50% 36-7109090
Andrew W. Code Children's Trust Dated 12/19/94 F/B/O David L. Code Owner 1 Jun 1994 25% - 50% 36-7109091
Andrew W. Code Trustee 1 Dec 1994 Other 5600579
Awc Children's Trust Dated 12/19/94 Fbo David L. Code Limited partner 1 Dec 1994 25% - 50% 36-7109091
Awc Children's Trust Dated 12/19/94 Fbo Adam J. Code Limited partner 1 Dec 1994 25% - 50% 36-7109090
David Lee Code Beneficiary 1 Dec 1994 75% - 100% 5547531
Adam Joseph Code Beneficiary 1 Dec 1994 75% - 100% 5326351
Brian B. Musso Manager 1 Jun 2006 Other 5584942
J. Zachary Musso Manager 1 Jun 2006 Other 5573642
L.P. The Code Family Partnership Member 1 Jun 2008 25% - 50% 36-3960418
Steven R. Brown Manager 1 Jul 2012 Other 5887584

Based in Chicago

The principal office where Promus Capital, LLC performs its advisory services is located at 156 N. Jefferson St., Chicago, IL 60661, 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 312-784-3990 or by fax 312-784-3991. The normal business hours are 9:00 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at promuscapital.com.