Connective Portfolio Management, LLC (New York)

Connective Portfolio Management, LLC is a mid-sized advisory firm based in New York. It manages $88.7 million of regulatory assets for 21 client accounts. It has been registered with the SEC as an adviser since 2014 and has operated in the jurisdiction of New York.

Connective Portfolio Management provides portfolio management for individuals and small businesses 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.

Connective Portfolio Management: assets under management

The assets under management (AUM) of Connective Portfolio Management, LLC is $88.7 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 36% since the beginning of its operation, and $53.65 million of the total AUM is attributable to clients outside of the United States.

The firm manages $88.7 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $4.22 million each.

Investments

The firm invests in exchange traded securities the most. They account for 80% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 17% of the firm’s portfolio. Investments in government bonds form 3% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Connective Portfolio Management, LLC for their services and products based on a percentage of assets under management. 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 Connective Portfolio Management serves?

The only and largest group of clients of Connective Portfolio Management is high net worth individuals with 19 clients and $21.16 million of assets under management. Among the 2 most similar advisory firms, Connective Portfolio Management has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $21.16 million for 19 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 5% of the firm’s clients are foreign persons or businesses.

Connective Portfolio Management doesn't advise any private funds.

Careers at Connective Portfolio Management, LLC

The company employs 2 people that are either part- or full-time employees. 100 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 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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Richard Ld Saxton	Managing member	1 May 2014	75% - 100%	1428254
Richard Ld Saxton	Executive vice president, member	1 Nov 2014	Other	1428254
Rudolf Millisits	Managing member, co-founder and chief compliance officer	1 Nov 2014	Other	1834642
Philippe Robert Comby	Managing member & co-founder	1 Nov 2014	Other	4348020
Rsm Advisors Llc	Member	1 Nov 2014	50% - 75%	47-2383913
Techphab Investors Llc	Member	1 Nov 2014	25% - 50%	47-2384151
Techphab Investors	Member	1 Nov 2014	25% - 50%	47-2384151
Inc. Hottinger U.S.	Member	1 Feb 2015	Other	13-3065736
Hottinger U.S. Inc.	Owner	1 Feb 2015	Other	13-3065736

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Banque Hottinger & Cie Sa	Sole stockholder	1 Jan 1993	75% - 100%	00-0000000

Based in New York

The principal office where Connective Portfolio Management, LLC performs its advisory services is located at 630 Third Avenue, New York, NY 10017, 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 212 332-7932 or by fax 212-332-7931. The normal business hours are 9:00 - 5:00 on Monday - Friday.