Battery East Group, LLC (San Francisco)

Name: Battery East Group, LLC
Address: 915 Battery Street, 1 St Floor, San Francisco, CA, 94111
Telephone: 415-528-7301

Battery East Group, LLC is an adviser based in San Francisco. It manages $9.37 million of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdiction of California.

Battery East Group provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Battery East Group: assets under management

The assets under management (AUM) of Battery East Group, LLC is $9.37 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $9.37 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.34 million each.

Investments

The firm invests in exchange traded securities the most. They account for 68% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 24% of the firm’s portfolio. Investments in investment and business development companies form 8% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Battery East Group, 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.

Careers at Battery East Group, LLC

The company employs 10 people that are either part- or full-time employees. 40 percent of the employees work as investment advisers or researchers. 4 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.

Shirley Jane Leung has served as the Chief Investment Officer since 1 Jan 2017. Holly Hao Man Lam joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Barrett Howard Cohn	Managing director, ceo	1 Aug 2013	50% - 75%	4782648
Michael Philip Sobel	Managing director, coo	1 Aug 2013	50% - 75%	2529966
Clark Bomar Tucker	Financial operations principal	1 Dec 2015	Other	1977842
Duncan Leigh Niederauer	Non-executive chairman, strategic advisor	1 Jul 2016	Other	1755301
Shirley Jane Leung	Chief investment officer	1 Jan 2017	Other	2639896
Holly Hao Man Lam	Chief compliance officer	1 Sep 2017	Other	3098926

Based in San Francisco

The principal office where Battery East Group, LLC performs its advisory services is located at 915 Battery Street, 1 St Floor, San Francisco, CA 94111, 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 415-528-7301. The normal business hours are 9am - 5pm pacific on Monday - Friday. You can find more information about the New York firm at scenicadvisement.com.