Berens Capital Management, LLC (New York)

Name: Berens Capital Management, LLC
Address: 745 Fifth Avenue, New York, NY, 10151
Telephone: 212-698-2030

Berens Capital Management, LLC is a large advisory firm based in New York. It manages $485.09 million of regulatory assets for 6 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdiction of New York.

Berens Capital Management provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Berens Capital Management: assets under management

The assets under management (AUM) of Berens Capital Management, LLC is $485.09 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 118% since the beginning of its operation, and $210.13 million of the total AUM is attributable to clients outside of the United States.

The firm manages $485.09 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $80.85 million each.

Berens Capital Management has custody of $485.09 million in cash and securities for 6 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Berens Capital Management, LLC for their services and products based on a percentage of assets under management and performance-based fees. 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 Kathleen Kimiko Phillips serves?

The only and largest group of clients of Kathleen Kimiko Phillips is pooled investment vehicles with 6 clients and $485.09 million of assets under management. Among the 10 most similar advisory firms, Berens Capital Management has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $485.09 million for 6 clients. 56% of the firm’s clients are foreign persons or businesses.

Berens Capital Management also advises several private funds. Namely, five hedge funds and one private equity fund. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at Berens Capital Management, LLC

The company employs 8 people that are either part- or full-time employees. 75 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.

Kathleen Kimiko Phillips has been acting as President since 1 Jan 2011. Isabelle Alexandra Ferreira joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Rodney Bristol Berens	Managing member/co-chief investment officer	1 Jul 2000	25% - 50%	18879
Laura Mcgoey Finkler	Managing member/chief financial officer	1 May 2002	Other	5037854
Raymond Timothy Schilt	Managing member/co-chief investment officer	1 Apr 2003	Other	413411
Brian Richard Clifford	Managing member	1 Jul 2003	Other	4417955
Michael Carl Ryan	Managing member	1 Jan 2006	Other	3047400
Nancy Tjandra	Chief compliance officer	1 Jan 2006	Other	5075444
Kathleen Kimiko Phillips	Managing member	1 Jan 2007	Other	5303485
Philip Joseph Andryc	Chief compliance officer/coo	1 May 2008	Other	846284
Philip Joseph Andryc	Managing member	1 Jan 2010	Other	846284
Philip Joseph Andryc	Chief compliance officer/coo	1 Jun 2010	Other	846284
Kathleen Kimiko Phillips	Managing member/president/chief operating officer	1 Jan 2011	Other	5303485
Philip Joseph Andryc	Managing member/director of research	1 Jan 2011	Other	846284
Laura Marie Finkler	Chief compliance officer	1 Jan 2011	Other	5890106
Bliss Margaret Bernal	Chief compliance officer	1 Jan 2011	Other	5890106
Frank Brochin	Managing member/co-chief investment officer	1 Jan 2016	Other	4741198
Isabelle Alexandra Ferreira	Chief compliance officer	1 Feb 2017	Other	6760964

Based in New York

The principal office where Berens Capital Management, LLC performs its advisory services is located at 745 Fifth Avenue, New York, NY 10151, 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 212-698-2030 or by fax 212-698-2021. The normal business hours are 8am to 6pm on Monday - Friday. You can find more information about the New York firm at berenscapital.com.