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Southridge Asset Management LLC (Ridgefield)


Southridge Asset Management LLC is a large advisory firm based in Ridgefield. It manages $55.23 million of regulatory assets for 110 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of Arizona, California, Connecticut, and 10 other states.

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Southridge Asset Management provides portfolio management for individuals and small businesses, 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.

Southridge Asset Management: assets under management

The assets under management (AUM) of Southridge Asset Management LLC is $55.23 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 101% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $55.23 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $502.05 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Southridge Asset Management LLC for their services and products based on a percentage of assets under management and commissions. 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.

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Stephen Murray Hicks Owner, 100% 1 Jan 1999 75% - 100% 1248222
Laurel Grove Management Llc 100% owner 1 Jan 2001 75% - 100% 52-2122454

Based in Ridgefield

The principal office where Southridge Asset Management LLC performs its advisory services is located at 90 Grove Street, Ridgefield, CT 06877 4130, which is also the mailing address of the firm. An additional office of the firm is in New York, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 203-431-8081 or by fax 203-431-8309. The normal business hours are 8 am to 5 pm (est) on Monday - Friday. You can find more information about the New York firm at www.southridgegroup.com.


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