ADVISORY RESEARCH INC
Adviser information for ADVISORY RESEARCH INC last updated from Form ADV on March 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 284 | $641.6M |
| Non-Discretionary | 0 | $0 |
| Total | 284 | $641.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 175 | $72.5M |
| HNW Individuals | 69 | $150.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $24.3M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $96.6M |
| Pension and profit sharing plans | 3 | $4.0M |
| Charitable organizations | 12 | $115.9M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 22 | $177.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| No. of Non-U.S. Clients | 3 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 204.0M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| UBS ADVISORY PROGRAMS | UBS FINANCIAL SERVICES INC. |
| MANAGED ACCOUNT PROGRAM | RBC CAPITAL MARKETS, LLC |
| PRIVATE ADVISOR NETWORK PROGRAM | WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC |
| INVESTMENT MANAGEMENT SERVICES PROGRAM | MORGAN STANLEY |
| STIFEL CONNECT PROGRAM | STIFEL, NICOLAUS & COMPANY, INCORPORATED |
| MANAGED ACCOUNTS CONSULTING | UBS FINANCIAL SERVICES INC. |
Principal Office
180 N STETSON AVENUESUITE 5500
CHICAGO
IL
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 312-565-1414, Fax: 312-565-1418
Chief Compliance Officer
BRUCE ZESSAR
PORTFOLIO MANAGER,MANAGING DIRECTOR
180 N STETSON AVE
SUITE 5500
CHICAGO
IL
United States
Tel:
312-233-8997
Fax:
312-565-2002
B******@*******************M
(Full email address available in API data)
Regulatory Contact
COLLEEN KELLY
COMPLIANCE CONSULTANT
744 LANCASTER AVE
SUITE 104
WAYNE
NJ
United States
Tel:
703-728-3163
C*****@********************M
(Full email address available in API data)
Industry Affiliates
| ARI PARTNERS GP LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ADVISORY RESEARCH PARTNERS FUND, L.P. | Hedge Fund | $95.7M | $0.5M | 64 |
| ARI FOUNDERS FUND, LP | Hedge Fund | $0.9M | $0.2M | 16 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ZESSAR, BRUCE, MICHAEL | Individual | – | CHIEF COMPLIANCE OFFICER, CORPORATE SECRETARY AND MANAGING DIRECTOR | 10/2019 | < 5% |
| SWAIM, MATTHEW, KENT | Individual | – | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 09/2019 | < 5% |
| OSTARA, INC. | Domestic Entity | – | OWNER | 10/2019 | > 75% |
| SWAIM, MATTHEW, KENT | Individual | OSTARA, INC. | SHAREHOLDER | 10/2019 | 25-50% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBOTT LABS | COM | 1M | 12K | – |
| ABBVIE INC | COM | 10M | 57K | – |
| ACCENTURE PLC IRELAND | SHS CLASS A | 2M | 5K | – |
| ADDUS HOMECARE CORP | COM | 572K | 5K | – |
| ALAMO GROUP INC | COM | 407K | 2K | North Square Investments, LLC |
| ALAMO GROUP INC | COM | 1M | 7K | – |
| ALKAMI TECHNOLOGY INC | COM | 1M | 44K | – |
| ALKAMI TECHNOLOGY INC | COM | 585K | 21K | North Square Investments, LLC |
| ALLISON TRANSMISSION HLDGS I | COM | 838K | 11K | – |
| ALPHABET INC | CAP STK CL A | 10M | 54K | – |
| ALTA EQUIPMENT GROUP INC | COMMON STOCK | 478K | 59K | North Square Investments, LLC |
| ALTA EQUIPMENT GROUP INC | COMMON STOCK | 1M | 167K | – |
| AMERICAN EAGLE OUTFITTERS IN | COM | 1M | 55K | – |
| AMERICAN ELEC PWR CO INC | COM | 8M | 88K | – |
| AMERICAN EXPRESS CO | COM | 2M | 7K | – |
| AMPHASTAR PHARMACEUTICALS IN | COM | 571K | 14K | – |
| APPLE INC | COM | 1M | 6K | – |
| APTARGROUP INC | COM | 382K | 3K | North Square Investments, LLC |
| APTARGROUP INC | COM | 1M | 7K | – |
| ARES CAPITAL CORP | COM | 666K | 32K | – |
| ARES MANAGEMENT CORPORATION | CL A COM STK | 2M | 12K | – |
| ARROW ELECTRS INC | COM | 687K | 6K | – |
| ASBURY AUTOMOTIVE GROUP INC | COM | 603K | 3K | North Square Investments, LLC |
| ASBURY AUTOMOTIVE GROUP INC | COM | 6M | 27K | – |
| ATOMERA INC | COM | 76K | 20K | – |
| AUTOZONE INC | COM | 2M | 660 | – |
| BANK AMERICA CORP | COM | 2M | 48K | – |
| BEL FUSE INC | CL A | 2M | 19K | – |
| BEL FUSE INC | CL B | 931K | 14K | North Square Investments, LLC |
| BEL FUSE INC | CL B | 15M | 225K | – |
| BELLRING BRANDS INC | COMMON STOCK | 889K | 16K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 2M | 5K | – |
| BLACKBAUD INC | COM | 800K | 11K | – |
| BLACKBAUD INC | COM | 271K | 4K | North Square Investments, LLC |
| BLACKSTONE INC | COM | 763K | 6K | – |
| BLACKSTONE SECD LENDING FD | COMMON STOCK | 294K | 10K | – |
| BLOCK H & R INC | COM | 1M | 24K | – |
| BOYD GAMING CORP | COM | 433K | 8K | – |
| BROADCOM INC | COM | 16M | 10K | – |
| BRUNSWICK CORP | COM | 1M | 19K | – |
| BRUNSWICK CORP | COM | 620K | 9K | North Square Investments, LLC |
| CASS INFORMATION SYS INC | COM | 2M | 46K | – |
| CASS INFORMATION SYS INC | COM | 622K | 16K | North Square Investments, LLC |
| CDW CORP | COM | 2M | 10K | – |
| CHESAPEAKE UTILS CORP | COM | 1M | 13K | – |
| CHEVRON CORP NEW | COM | 1M | 9K | – |
| CONOCOPHILLIPS | COM | 1M | 9K | – |
| CUE BIOPHARMA INC | COM | 319K | 257K | – |
| DANAOS CORPORATION | SHS | 2M | 24K | – |
| DEVON ENERGY CORP NEW | COM | 9M | 180K | – |
| DISTRIBUTION SOLUTIONS GRP I | COM | 2M | 59K | – |
| DISTRIBUTION SOLUTIONS GRP I | COM | 639K | 21K | North Square Investments, LLC |
| EAGLE MATLS INC | COM | 1M | 5K | – |
| EAGLE MATLS INC | COM | 345K | 2K | North Square Investments, LLC |
| ELEMENT SOLUTIONS INC | COM | 4M | 129K | – |
| ELEMENT SOLUTIONS INC | COM | 683K | 25K | North Square Investments, LLC |
| EMCOR GROUP INC | COM | 5M | 14K | – |
| EMERALD HOLDING INC | COM | 376K | 66K | North Square Investments, LLC |
| EMERALD HOLDING INC | COM | 5M | 859K | – |
| ENCOMPASS HEALTH CORP | COM | 1M | 15K | – |
| ENSTAR GROUP LIMITED | SHS | 1M | 4K | North Square Investments, LLC |
| ENSTAR GROUP LIMITED | SHS | 16M | 54K | – |
| EVERI HLDGS INC | COM | 345K | 41K | – |
| EXXON MOBIL CORP | COM | 864K | 8K | – |
| FERGUSON PLC NEW | SHS | 6M | 30K | – |
| FIDUS INVT CORP | COM | 201K | 10K | – |
| FIRST ADVANTAGE CORP NEW | COM | 3M | 187K | – |
| FIRST ADVANTAGE CORP NEW | COM | 583K | 36K | North Square Investments, LLC |
| FIRST MERCHANTS CORP | COM | 1M | 37K | – |
| FIRST MERCHANTS CORP | COM | 481K | 14K | North Square Investments, LLC |
| FLOOR & DECOR HLDGS INC | CL A | 466K | 5K | North Square Investments, LLC |
| FLOOR & DECOR HLDGS INC | CL A | 1M | 13K | – |
| FLUTTER ENTMT PLC | SHS | 4M | 23K | – |
| FS KKR CAP CORP | COM | 229K | 12K | – |
| FULLER H B CO | COM | 753K | 10K | – |
| GATES INDL CORP PLC | ORD SHS | 560K | 35K | North Square Investments, LLC |
| GATES INDL CORP PLC | ORD SHS | 3M | 179K | – |
| GENIUS SPORTS LIMITED | SHARES CL A | 415K | 76K | – |
| GROCERY OUTLET HLDG CORP | COM | 11M | 504K | – |
| GROCERY OUTLET HLDG CORP | COM | 814K | 37K | North Square Investments, LLC |
| GSK PLC | SPONSORED ADR | 10M | 268K | – |
| HEALTHEQUITY INC | COM | 2M | 23K | – |
| HEALTHEQUITY INC | COM | 642K | 7K | North Square Investments, LLC |
| HEARTBEAM INC | COM | 129K | 50K | – |
| HERCULES CAPITAL INC | COM | 286K | 14K | – |
| HERSHEY CO | COM | 960K | 5K | – |
| HF SINCLAIR CORP | COM | 658K | 12K | – |
| HILLENBRAND INC | COM | 320K | 8K | – |
| HOME DEPOT INC | COM | 3M | 8K | – |
| HONDA MOTOR LTD | ADR ECH CNV IN 3 | 4M | 132K | – |
| HUBBELL INC | COM | 8M | 22K | – |
| IMPINJ INC | COM | 1M | 7K | – |
| INSPIRED ENTMT INC | COM | 679K | 74K | – |
| INTERNATIONAL GAME TECHNOLOG | SHS USD | 648K | 32K | – |
| INTERPUBLIC GROUP COS INC | COM | 2M | 63K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 2M | 11K | – |
| ISHARES TR | 1 3 YR TREAS BD | 799K | 10K | – |
| ISHARES TR | IBONDS 24 TRM TS | 2M | 64K | – |
| ISHARES TR | ISHS 1-5YR INVS | 914K | 18K | – |
| ISHARES TR | ISHS 5-10YR INVT | 2M | 34K | – |
| ISHARES TR | MBS ETF | 2M | 18K | – |
| ISHARES TR | MSCI ACWI ETF | 391K | 3K | – |
| ISHARES TR | SHORT TREAS BD | 6M | 58K | – |
| JOHN BEAN TECHNOLOGIES CORP | COM | 8M | 80K | – |
| JOHN BEAN TECHNOLOGIES CORP | COM | 805K | 8K | North Square Investments, LLC |
| JOHNSON & JOHNSON | COM | 813K | 6K | – |
| JPMORGAN CHASE & CO. | COM | 2M | 10K | – |
| KB FINL GROUP INC | SPONSORED ADR | 6M | 107K | – |
| KEURIG DR PEPPER INC | COM | 10M | 285K | – |
| LAM RESEARCH CORP | COM | 2M | 2K | – |
| LAMAR ADVERTISING CO NEW | CL A | 5M | 42K | – |
| LEGACY HOUSING CORP | COM | 650K | 28K | North Square Investments, LLC |
| LEGACY HOUSING CORP | COM | 7M | 326K | – |
| LESLIES INC | COM | 708K | 169K | – |
| LESLIES INC | COM | 251K | 60K | North Square Investments, LLC |
| LOCKHEED MARTIN CORP | COM | 2M | 5K | – |
| MAIN STR CAP CORP | COM | 269K | 5K | – |
| MATADOR RES CO | COM | 579K | 10K | – |
| MCDONALDS CORP | COM | 1M | 4K | – |
| MERCK & CO INC | COM | 12M | 100K | – |
| MGIC INVT CORP WIS | COM | 7M | 305K | – |
| MICROSOFT CORP | COM | 18M | 40K | – |
| MICROSTRATEGY INC | CL A NEW | 282K | 205 | – |
| MILLER INDS INC TENN | COM NEW | 19M | 349K | – |
| MILLER INDS INC TENN | COM NEW | 2M | 28K | North Square Investments, LLC |
| MONARCH CASINO & RESORT INC | COM | 6M | 94K | – |
| MONARCH CASINO & RESORT INC | COM | 863K | 13K | North Square Investments, LLC |
| NETAPP INC | COM | 2M | 14K | – |
| NEXTERA ENERGY INC | COM | 459K | 6K | – |
| NICOLET BANKSHARES INC | COM | 3M | 36K | – |
| NICOLET BANKSHARES INC | COM | 639K | 8K | North Square Investments, LLC |
| NOVO-NORDISK A S | ADR | 477K | 3K | – |
| NRG ENERGY INC | COM NEW | 752K | 10K | – |
| NVENT ELECTRIC PLC | SHS | 783K | 10K | – |
| OAKTREE SPECIALTY LENDING CO | COM | 239K | 13K | – |
| ONESPAWORLD HOLDINGS LIMITED | COM | 568K | 37K | North Square Investments, LLC |
| ONESPAWORLD HOLDINGS LIMITED | COM | 2M | 105K | – |
| ORACLE CORP | COM | 1M | 8K | – |
| OWENS CORNING NEW | COM | 519K | 3K | – |
| PAPA JOHNS INTL INC | COM | 373K | 8K | North Square Investments, LLC |
| PAPA JOHNS INTL INC | COM | 1M | 22K | – |
| PATRICK INDS INC | COM | 491K | 5K | – |
| PERFICIENT INC | COM | 638K | 9K | – |
| PERFORMANCE FOOD GROUP CO | COM | 10M | 153K | – |
| PERFORMANCE FOOD GROUP CO | COM | 884K | 13K | North Square Investments, LLC |
| PHILIP MORRIS INTL INC | COM | 10M | 96K | – |
| PHINIA INC | COMMON STOCK | 779K | 20K | North Square Investments, LLC |
| PHINIA INC | COMMON STOCK | 11M | 291K | – |
| PITNEY BOWES INC | COM | 871K | 171K | – |
| PITNEY BOWES INC | COM | 311K | 61K | North Square Investments, LLC |
| PROGRESS SOFTWARE CORP | COM | 760K | 14K | – |
| PROSHARES TR | S&P 500 DV ARIST | 214K | 2K | – |
| REGAL REXNORD CORPORATION | COM | 952K | 7K | – |
| RELIANCE INC | COM | 2M | 8K | – |
| RUNWAY GROWTH FINANCE CORP | COM | 158K | 13K | – |
| RYERSON HLDG CORP | COM | 483K | 25K | – |
| SCIENCE APPLICATIONS INTL CO | COM | 546K | 5K | – |
| SIXTH STREET SPECIALTY LENDI | COM | 258K | 12K | – |
| SKYLINE CHAMPION CORPORATION | COM | 2M | 29K | – |
| SKYLINE CHAMPION CORPORATION | COM | 624K | 9K | North Square Investments, LLC |
| SOUTHSTATE CORPORATION | COM | 2M | 21K | – |
| SOUTHSTATE CORPORATION | COM | 555K | 7K | North Square Investments, LLC |
| SPDR S&P 500 ETF TR | TR UNIT | 312K | 574 | – |
| SPDR SER TR | S&P BIOTECH | 911K | 10K | – |
| SPIRE INC | COM | 330K | 5K | – |
| STEEL DYNAMICS INC | COM | 2M | 15K | – |
| STELLANTIS N.V | SHS | 217K | 11K | – |
| SUPERNUS PHARMACEUTICALS INC | COM | 448K | 17K | – |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 16M | 93K | – |
| TAPESTRY INC | COM | 11M | 246K | – |
| TJX COS INC NEW | COM | 1M | 13K | – |
| TRIMAS CORP | COM NEW | 13M | 491K | – |
| TRIMAS CORP | COM NEW | 1M | 41K | North Square Investments, LLC |
| UFP INDUSTRIES INC | COM | 998K | 9K | – |
| UNILEVER PLC | SPON ADR NEW | 3M | 55K | – |
| UNION PAC CORP | COM | 1M | 6K | – |
| UNITEDHEALTH GROUP INC | COM | 12M | 23K | – |
| UNUM GROUP | COM | 765K | 15K | – |
| VALVOLINE INC | COM | 1M | 32K | – |
| VALVOLINE INC | COM | 483K | 11K | North Square Investments, LLC |
| VANGUARD BD INDEX FDS | VANGUARD ULTRA | 5M | 97K | – |
| VANGUARD INDEX FDS | MID CAP ETF | 1M | 5K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 3M | 6K | – |
| VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 2M | 28K | – |
| VANGUARD SCOTTSDALE FDS | SHORT TERM TREAS | 4M | 70K | – |
| VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 2M | 26K | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 3M | 14K | – |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | 1M | 23K | – |
| VERIZON COMMUNICATIONS INC | COM | 13M | 304K | – |
| VERMILION ENERGY INC | COM | 897K | 81K | – |
| VIAD CORP | COM | 893K | 26K | North Square Investments, LLC |
| VIAD CORP | COM | 12M | 343K | – |
| WATSCO INC | COM | 2M | 5K | – |
| WEBSTER FINL CORP | COM | 2M | 39K | – |
| WEBSTER FINL CORP | COM | 680K | 16K | North Square Investments, LLC |
| WESTERN ALLIANCE BANCORP | COM | 864K | 14K | – |
| WHITESTONE REIT | COM | 730K | 55K | – |