OSTERWEIS CAPITAL MANAGEMENT
OSTERWEIS CAPITAL MANAGEMENT LLC Legal Name
Adviser information for OSTERWEIS CAPITAL MANAGEMENT last updated from Form ADV on March 29th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 60 |
|---|---|
| Investment Advisory/Research | 13 |
| Registered Broker-Dealer Representatives | 7 |
| Registered State Investment Advisers | 0 |
| 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 | 301 | $6.3B |
| Non-Discretionary | 20 | $22.7M |
| Total | 321 | $6.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 20 | $24.8M |
| HNW Individuals | 285 | $771.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 3 | $5.4B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 9 | $54.4M |
| 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 | <5 | $57.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-54360 |
|---|---|
| SEC ERA File Number | 801-54360 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 109580 |
| Legal Entity Identifier | 549300QTXLDORVYB5025 |
Principal Office
ONE MARITIME PLAZA, SUITE 800SAN FRANCISCO
CA
United States
Monday - Friday, 7:00AM - 5:00 PM
Tel: 415-434-4441, Fax: 415-434-0918
Chief Compliance Officer
JOHN F. TAVERNETTI
VP & CHIEF COMPLIANCE OFFICER
ONE MARITIME PLAZA
SUITE 800
SAN FRANCISCO
CA
United States
Tel:
415-434-4441
Fax:
415-434-0918
J**************@************M
(Full email address available in API data)
Regulatory Contact
CATHERINE C. HALBERSTADT
CO-CEO & CO-PRESIDENT
ONE MARITIME PLAZA
SUITE 800
SAN FRANCISCO
CA
United States
Tel:
415-434-4441
Fax:
415-434-0918
C****************@************M
(Full email address available in API data)
Industry Affiliates
| OSTERWEIS CAPITAL MANAGEMENT | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| OSTERWEIS, JOHN, STEVEN | Individual | – | CHAIRMAN | 05/2016 | < 5% |
| OSTERWEIS REVOCABLE TRUST, U/A/DATED 09/13/1993 | Domestic Entity | – | MEMBER | 03/1997 | 10-25% |
| OSTERWEIS, JOHN, STEVEN | Individual | – | TRUSTEE, OSTERWEIS REVOCABLE TRUST | 03/1997 | < 5% |
| TAVERNETTI, JOHN, FOXON | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2005 | < 5% |
| HERMANSKI, GREGORY, SCOTT | Individual | – | TRUSTEE, HERMANSKI FAMILY TRUST | 01/2004 | < 5% |
| CARL KAUFMAN & MARTHA ANGOVE REVOCABLE TRUST | Domestic Entity | – | MEMBER | 01/2004 | 10-25% |
| KAUFMAN, CARL, PHILIP | Individual | – | TRUSTEE, CARL KAUFMAN & MARTHA ANGOVE REVOCABLE TRUST | 01/2004 | < 5% |
| ANGOVE, MARTHA, ELIZABETH | Individual | – | TRUSTEE, CARL KAUFMAN & MARTHA ANGOVE REVOCABLE TRUST | 01/2004 | < 5% |
| HALBERSTADT, CATHERINE | Individual | – | CO-CEO AND CO-PRESIDENT | 06/2017 | < 5% |
| HERMANSKI FAMILY TRUST | Domestic Entity | – | MEMBER | 01/2004 | 5-10% |
| HERMANSKI, REBECCA, DAWN | Individual | – | TRUSTEE, HERMANSKI FAMILY TRUST | 01/2004 | < 5% |
| CHANG, SARAH | Individual | – | TRUSTEE, EUBANKS/CHANG FAMILY TRUST | 01/2017 | < 5% |
| KAUFMAN, CARL, PHILIP | Individual | – | CO-CEO AND CO-PRESIDENT | 06/2017 | < 5% |
| EUBANKS, SHAWN, MICHAEL | Individual | – | TRUSTEE, EUBANKS/CHANG FAMILY TRUST | 01/2017 | < 5% |
| EUBANKS/CHANG FAMILY TRUST | Domestic Entity | – | MEMBER | 01/2017 | 5-10% |
| OCM UNIT HOLDINGS, LLC | Domestic Entity | – | MEMBER | 01/2017 | 10-25% |
| KANE, BRADLEY, MORGAN | Individual | – | TRUSTEE, KANE FAMILY TRUST DTD 6/27/2005 | 01/2018 | < 5% |
| KANE, RACHEL, ZENNER | Individual | – | TRUSTEE, KANE FAMILY TRUST DTD 6/27/2005 | 01/2018 | < 5% |
| KANE FAMILY TRUST DTD 6/27/2005 | Domestic Entity | – | MEMBER | 01/2018 | 5-10% |
| HALBERSTADT, CATHERINE | Individual | – | MEMBER | 01/2018 | 5-10% |
| COLEMAN, JOHN, SCOTT | Individual | – | DIRECTOR | 04/2022 | < 5% |
| MACLELLAN, JOHN, STEPHEN | Individual | – | DIRECTOR | 04/2022 | < 5% |
| MANCHUCK, CRAIG, LEONARD | Individual | – | SHAREHOLDER | 05/2022 | 5-10% |