Hedge Fund Database

M.D. SASS, LLC

Adviser information for M.D. SASS, LLC 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 Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 20
Investment Advisory/Research 10
Registered Broker-Dealer Representatives 5
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 64 $4.5B
Non-Discretionary 0 $0
Total 64 $4.5B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 20 $233.4M
Banking or thrift institutions 0 $0
Investment companies 2 $40.1M
Business development companies 0 $0
Pooled investment vehicles 2 $3.3B
Pension and profit sharing plans 21 $623.3M
Charitable organizations 8 $91.2M
State or municipal gov entities 0 $0
Other investment advisers <5 $56.9M
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 8 $160.0M
Other <5 $23.7M
Type Number
No. of Non-RAUM Clients 5
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 AUMPerformance-based fees
Other Business Activities Commodity pool operator or commodity trading advisor

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 0
Portfolio Manager to Program Sponsor
MERRILL LYNCH UNIFIED MANAGED ACCOUNT MERRILL LYNCH
SEPARATELY MANAGED ACCOUNT PROGRAM ENVESTNET ASSET MANAGEMENT, INC.
SELECT UMA MORGAN STANLEY SMITH BARNEY LLC
SMARTX PLATFORM SMARTX ADVISORY SOLUTIONS, LLC
CUSTOM INVESTMENT MANAGEMENT PROGRAM TAIBER KOSMALA AND ASSOCIATES, LLC

Identifiers

SEC RIA File Number 801-8663
SEC ERA File Number 801-8663
SEC CIK Numbers 922940
SEC CRD Numbers 110590
Legal Entity Identifier 549300IHKL0WTV30Z357

Principal Office

55 WEST 46TH STREET
SUITE 2801
NEW YORK
NY
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 212-730-2000, Fax: 212-764-0381

Websites

www.mdsass.com www.linkedin.com/company/md-sass/

Chief Compliance Officer

BOBBY LIU
CHIEF OPERATING OFFICER & GENERAL COUNSEL
55 WEST 46TH STREET
SUITE 2801
NEW YORK
NY
United States
Tel: 212-730-2000
Fax: 212-764-0381
(Full email address available in API data)

Industry Affiliates

AMERRA CAPITAL MANAGEMENT, LLC Other investment adviser, including financial planners
CLADRIUS PARTNERS LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
M.D. SASS PORTABLE ALPHA GP, LLC Sponsor, GP, manager of pooled investment vehicles
M.D. SASS SECURITIES, L.L.C. Broker-dealer, municipal securities dealer, or gov securities broker or dealer
M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
M.D. SASS GOVERNMENT AGENCY PORTABLE ALPHA, L.P. Hedge Fund $3,251.8M $5.0M 1

Control Persons

Name Type Entity Title Since Ownership
SASS, MARTIN, DOUGLAS Individual – CHAIRMAN, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, DIRECTOR, MANAGING MEMBER 03/1972 < 5%
LIU, BOBBY Individual – CHIEF OPERATING OFFICER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER 08/2006 < 5%
SASS, ARI Individual – PRESIDENT, SENIOR PORTFOLIO MANAGER (EQUITIES) 01/2018 50-75%
FRIEDMAN, SAM, HARRIS Individual – CHIEF FINANCIAL OFFICER 10/2018 < 5%
M.D. SASS FINANCIAL, INC. Domestic Entity – MEMBER 11/2023 50-75%
SASS, MARTIN, DOUGLAS Individual M.D. SASS FINANCIAL, INC. OWNER 11/2023 > 75%

No. Employees, Historic

2010020202021202220232024202520 on 3/30/202020 on 6/30/202020 on 12/18/202019 on 3/30/202119 on 10/22/202119 on 11/8/202120 on 3/31/202220 on 9/13/202219 on 3/31/202319 on 1/12/202420 on 3/28/2024

RAUM, Historic

5B3B02020202120222023202420251347349274 on 3/30/20201347349274 on 6/30/20201347349274 on 12/18/20201541994501 on 3/30/20211541994501 on 10/22/20211541994501 on 11/8/20213153777220 on 3/31/20223153777220 on 9/13/20223285242226 on 3/31/20233285242226 on 1/12/20244480401537 on 3/28/2024

No. Clients, Historic

7035020202021202220232024202544 on 3/30/202044 on 6/30/202044 on 12/18/202039 on 3/30/202139 on 10/22/202139 on 11/8/202136 on 3/31/202236 on 9/13/202256 on 3/31/202356 on 1/12/202464 on 3/28/2024

Holdings

From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AIR PRODS & CHEMS INC COM 34M 131K –
AMAZON COM INC COM 8M 41K –
AMETEK INC COM 47M 284K –
API GROUP CORP COM STK 81M 2M –
APPLE INC COM 3M 13K –
BLUE OWL CAPITAL INC COM CL A 6M 322K –
CACI INTL INC CL A 85M 197K –
CBRE GROUP INC CL A 48M 541K –
CENCORA INC COM 32M 141K –
CHARLES RIV LABS INTL INC COM 64M 309K –
CLEAN HARBORS INC COM 74M 327K –
CROWN HLDGS INC COM 62M 839K –
DANAHER CORPORATION COM 50M 200K –
DOLLAR GEN CORP NEW COM 38M 291K –
ISHARES TR MSCI ACWI EX US 3M 49K –
ISHARES TR RUS 1000 VAL ETF 8M 48K –
JABIL INC COM 64M 591K –
LAMB WESTON HLDGS INC COM 62M 733K –
LIBERTY MEDIA CORP DEL COM LBTY ONE S C 92M 1M –
MARVELL TECHNOLOGY INC COM 70M 1M –
MICROSOFT CORP COM 4M 8K –
NVIDIA CORPORATION COM 2M 13K –
ON SEMICONDUCTOR CORP COM 37M 540K –
OPTION CARE HEALTH INC COM NEW 1M 46K –
PALO ALTO NETWORKS INC COM 5M 14K –
RTX CORPORATION COM 26M 255K –
SBA COMMUNICATIONS CORP NEW CL A 63M 323K –
SPDR S&P 500 ETF TR TR UNIT 163M 300K –
SPDR S&P 500 ETF TR TR UNIT 6M 10K –
TARGET CORP COM 33M 226K –
VANGUARD INDEX FDS S&P 500 ETF SHS 74M 147K –
WABTEC COM 29M 181K –
WALKER & DUNLOP INC COM 19M 191K –