Sls Management, LLC (New York)

Sls Management, LLC is a large advisory firm based in New York. It manages $129.36 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2006.

Sls 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.

Sls Management: assets under management

The assets under management (AUM) of Sls Management, LLC is $129.36 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -87% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $129.36 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $129.36 million each.

Sls Management has custody of $128.86 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Sls 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 Sls Management serves?

The only and largest group of clients of Sls Management is pooled investment vehicles with 1 clients and $129.36 million of assets under management. Among the 9 most similar advisory firms, Sls Management has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $129.36 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Sls Management also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $2,000,000 for each fund.

Careers at Sls Management, LLC

The company employs 4 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 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
Scott Lawrence Swid	Managing member	1 Apr 1999	75% - 100%	1174539
Steven John Rohlfing	Chief financial officer/chief compliance officer	1 May 1999	Other	4953526
Steven John Rohlfing	Chief compliance officer	1 Nov 2005	Other	4953526
Dan Dable	Chief operating officer	1 May 2006	Other	2997538

Based in New York

The principal office where Sls Management, LLC performs its advisory services is located at 37 W 57 Th Street, New York, NY 10019, 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 212-537-3600 or by fax 917-398-8909. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday.