Disciplined Growth Investors Inc (Minneapolis)

Name: Disciplined Growth Investors Inc
Address: 150 South Fifth Street, Minneapolis, MN, 55402 1227
Telephone: 612-317-4100

Disciplined Growth Investors Inc is a large advisory firm based in Minneapolis. It manages $5.11 billion of regulatory assets for 162 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Arizona, California, Colorado, and 20 other states.

Disciplined Growth Investors provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, 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.

Disciplined Growth Investors: assets under management

The assets under management (AUM) of Disciplined Growth Investors Inc is $5.11 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 527% since the beginning of its operation, and $163.68 million of the total AUM is attributable to clients outside of the United States.

The firm manages $5.11 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $31.53 million each.

Disciplined Growth Investors has custody of $389.31 million in cash and securities for 2 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 95% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 3% of the firm’s portfolio. Investments in cash and cash equivalents form 1% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Disciplined Growth Investors Inc for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Frederick Kane Martin serves?

The firm provides services to investment companies, charitable organizations, other investment advisers, high net worth individuals, pooled investment vehicles, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Frederick Kane Martin is pension and profit sharing plans with 22 clients and $1.41 billion of assets under management. Among the 10 most similar advisory firms, Disciplined Growth Investors has the 2nd highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $5.04 billion for 159 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Disciplined Growth Investors also advises several private funds. Namely, one hedge fund and one other private fund. The minimum investment commitment required of non-related persons ranges from $50,000 to $250,000.

Careers at Disciplined Growth Investors Inc

The company employs 20 people that are either part- or full-time employees. 50 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 compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Frederick Kane Martin has been acting as President since 1 May 2001. Peter Gordon Rieke joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Mark Randall Ferguson	President	1 Feb 1997	Other	2552558
Frederick Kane Martin	Co-chair	1 Feb 1997	25% - 50%	321196
Curtis Kent Lane	Co-chair	1 Feb 1997	25% - 50%	729087
Scott David Link	Portfolio manager	1 Oct 1999	Other	5137014
Robert Louis Buss	Managing director of marketing & client service	1 Aug 2000	Other	5951872
Frederick Kane Martin	President	1 May 2001	50% - 75%	321196
Laura Jean Hawkins	Cfo, compliance officer	1 Jun 2001	Other	4425007
Mark Joseph Briol	Director	1 Oct 2001	Other	4507279
Rob Joseph Nicoski	Portfolio manager	1 May 2003	Other	2387235
Ricki Lee Martin	Chief financial officer	1 Jul 2008	Other	5647886
Peter Gordon Rieke	Chief compliance officer	1 Oct 2008	Other	5647820
Ricki Lee Martin	Chief executive officer	1 Feb 2017	Other	5647886

Based in Minneapolis

The principal office where Disciplined Growth Investors Inc performs its advisory services is located at 150 South Fifth Street, Minneapolis, MN 55402 1227, 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 612-317-4100 or by fax 612-904-2546. The normal business hours are 8:00am - 4:30pm on Monday - Friday. You can find more information about the New York firm at dginv.com.