Morgan Dempsey Capital Management LLC (Menomonee Falls)

Name: Morgan Dempsey Capital Management LLC
Address: 111 Heritage Reserve, Menomonee Falls, WI, 53051
Telephone: 414-319-1080

Morgan Dempsey Capital Management LLC is a large advisory firm based in Menomonee Falls. It manages $260.53 million of regulatory assets for 677 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Arizona, California, Florida, and 12 other states.

Morgan Dempsey Capital Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for businesses and institutional clients, and provide model portfolio recommendations to uma programs. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Morgan Dempsey Capital Management: assets under management

The assets under management (AUM) of Morgan Dempsey Capital Management LLC is $260.53 million. The firm's AUM has grown by 28% since the beginning of its operation, and $3.48 million of the total AUM is attributable to clients outside of the United States.

The firm manages $260.45 million in discretionary accounts and $83.35 thousand in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $385.85 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $41.67 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 88% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 12% of the firm’s portfolio.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Morgan Dempsey Capital Management 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.

What kind of clients Morgan Dempsey Capital Management serves?

The firm provides services to investment companies, charitable organizations, high net worth individuals, corporations or other businesses, and state or municipal government entities. The largest group of clients of Morgan Dempsey Capital Management is high net worth individuals with 638 clients and $181.71 million of assets under management. Among the 7 most similar advisory firms, Morgan Dempsey Capital Management has the 3rd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $260.53 million for 677 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Morgan Dempsey Capital Management doesn't advise any private funds.

Careers at Morgan Dempsey Capital Management LLC

The company employs 8 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 5 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person 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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Kathleen Morgan	Principal / chief investment officer	1 Dec 1994	50% - 75%	1653647
Robert Thomas Dempsey	Principal	1 Dec 1994	50% - 75%	1200375
Mark John Fenlon	Principal	1 Jan 1995	Other	1466512
Marc Joseph Dion	Principal, chief investment officer	1 Mar 2006	25% - 50%	1770462
First Capital Surety Llc	Investor	1 Dec 2006	Other	xxx-xx-xxxx
Brian Gary Rafn	Principal, director of reasearch	1 Jan 2009	25% - 50%	1541427
David Wayne Durham	Principal, chief compliance officer	1 Jan 2009	25% - 50%	3095088
Dave Allen Isaacson	Passive outside owner	1 Aug 2014	Other	2343751

Based in Menomonee Falls

The principal office where Morgan Dempsey Capital Management LLC performs its advisory services is located at 111 Heritage Reserve, Menomonee Falls, WI 53051, 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 414-319-1080 or by fax 414-319-1087. The normal business hours are 8:00 am - 4:30 pm on Monday - Friday. You can find more information about the New York firm at morgandempsey.com.