BRECKINRIDGE CAPITAL ADVISORS INC
Adviser information for BRECKINRIDGE CAPITAL ADVISORS INC last updated from Form ADV on March 28th, 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 | Massachusetts, United States |
Employees
| Total Number of Employees | 92 |
|---|---|
| Investment Advisory/Research | 47 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 30 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 17,848 | $47.9B |
| Non-Discretionary | 0 | $0 |
| Total | 17,848 | $47.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 8,830 | $5.1B |
| HNW Individuals | 7,107 | $26.0B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 3 | $169.6M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 37 | $114.1M |
| Charitable organizations | 803 | $7.0B |
| State or municipal gov entities | 6 | $63.9M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 17 | $167.0M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 978 | $7.2B |
| Other | 67 | $2.1B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 17848 |
| No. of Non-U.S. Clients | 0 |
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 AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 10.3B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| OPPENHEIMER UNIFIED MANAGED ACCOUNT PROGRAM | OPPENHEIMER ASSET MANAGEMENT |
| MERRILL LYNCH SELECTS PORTFOLIO SOLUTIONS | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
| RAYMOND JAMES CONSULTING SERVICES PROGRAM | RAYMOND JAMES & ASSOCIATES, INC. |
| MORGAN STANLEY SELECT UMA | MORGAN STANLEY |
| MERRILL LYNCH IAP | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
| SCHWAB MANAGED ACCOUNT SELECT | CHARLES SCHWAB & CO., INC. |
| BRINKER SMA PROGRAM | ORION PORTFOLIO SOLUTIONS, LLC |
| GOLDMAN SACHS GLOBAL MANAGER STRATEGIES SEPARATE ACCOUNT PROGRAM | GOLDMAN SACHS & CO. LLC |
| KEYBANK INVESTMENT ADVISORY PROGRAM | KEYBANK NATIONAL ASSOCIATION |
| MID ATLANTIC PORTFOLIO SOLUTIONS | MID ATLANTIC FINANCIAL MANAGEMENT, INC. |
| CALLAN UMA PROGRAM | CALLAN ASSOCIATES |
| WELLS FARGO PERSONALIZED UMA | WELLS FARGO CLEARING SERVICES, LLC |
| FIDELITY STRATEGIC DISCIPLINES | FIDELITY PERSONAL AND WORKPLACE ADVISORS |
| SANCTUARY ADVISORS | SANCTUARY ADVISORS, LLC |
| ENVESTNET UMA | ENVESTNET PMC |
| LOCKWOOD MANAGED ACCOUNT ADVISOR | BNY MELLON ADVISORS, INC. |
| JP MORGAN PORTFOLIO MANAGER PROGRAM | J.P. MORGAN SECURITIES LLC |
| UBS ACCESS | UBS FINANCIAL SERVICES INC. |
| UBS STRATEGIC WEALTH PORTFOLIO | UBS FINANCIAL SERVICES INC. |
| FIDELITY MANAGED ACCOUNT XCHANGE | FIDELITY INSTITUTIONAL WEALTH ADVISER LLC |
Identifiers
| SEC RIA File Number | 801-43833 |
|---|---|
| SEC ERA File Number | 801-43833 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107143 |
| Legal Entity Identifier | 254900QE44F6XBK73276 |
Principal Office
125 HIGH STREETSUITE 431
BOSTON
MA
United States
Monday - Friday, 8:30 A.M. TO 5:00 P.M.
Tel: 617-443-0779, Fax: None
Chief Compliance Officer
HELEN MCAULEY
125 HIGH STREET
SUITE 431
BOSTON
MA
United States
Tel:
617-443-0779
H*******@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NEWELL, PHILLIP, ADAMS | Individual | – | DIRECTOR | 04/2000 | < 5% |
| COFFIN, PETER, BRECKINRIDGE | Individual | – | PRESIDENT/DIRECTOR | 05/1993 | 50-75% |
| HODGMAN, MARTHA, FIELD | Individual | – | DIRECTOR | 09/2001 | < 5% |
| MEYERS, ANDREW, LEE | Individual | – | DIRECTOR | 06/2016 | < 5% |
| MCAULEY, HELEN, LEE | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2016 | < 5% |
| BEAL, GEORGE, PUTNAM | Individual | – | DIRECTOR | 11/2011 | < 5% |
| READ, CAMERON | Individual | – | DIRECTOR | 02/2004 | < 5% |
| GRECO, ANTHONY, PETER | Individual | – | CHIEF OPERATING OFFICER/DIRECTOR | 06/2016 | < 5% |
| STETSON, ANNE, NMN | Individual | – | DIRECTOR/BENEFIT DIRECTOR | 04/2017 | < 5% |
| GLENN, JEFFREY, MICHAEL | Individual | – | CO-HEAD OF PORTFOLIO MANAGEMENT | 01/2021 | < 5% |
| RIBEIRO, DOMINICA, M | Individual | – | CHIEF MARKETING AND DISTRIBUTION OFFICER/DIRECTOR | 01/2021 | < 5% |
| BUSCONE, MATTHEW, CHRISTOPHER | Individual | – | CO-HEAD OF PORTFOLIO MANAGEMENT | 04/2015 | < 5% |
| SOSA, OGNJEN | Individual | – | CHIEF INVESTMENT OFFICER/DIRECTOR | 06/2021 | < 5% |
| SMELSER, BENJAMIN, MICHAEL | Individual | – | CO-CHIEF TECHNOLOGY OFFICER | 06/2022 | < 5% |