Old Mutual Capital, Inc. (Denver)

Old Mutual Capital, Inc. is a large advisory firm based in Denver. It manages $2.3 billion of regulatory assets for 20 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of Colorado and Pennsylvania.

Old Mutual Capital provides portfolio management for investment companies, selection of other advisers, and portfolio management of ucits funds. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Old Mutual Capital: assets under management

The assets under management (AUM) of Old Mutual Capital, Inc. is $2.3 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 2302289% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $2.3 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $115.12 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Old Mutual Capital, Inc. 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.

Careers at Old Mutual Capital, Inc.

Thomas Moynihan Turpin has been acting as President since 1 Apr 2004. Kathryn Lee Santoro joined the executive team most recently as the Vice President, General Counsel And Secretary.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Old Mutual (Us) Holdings	100% shareholder of old mutual capital, inc.	1 Apr 2004	75% - 100%	04-2714625
Thomas Moynihan Turpin	Director	1 Apr 2004	Other	1888979
Brian Christopher Dillon	Chief compliance officer	1 Apr 2004	Other	2352372
John Mark Zerr	General counsel and secretary	1 Apr 2004	Other	2792416
Scott Francis Powers	Chief executive officer, chairman and director	1 Apr 2004	Other	1482612
Kevin Martin Hunt	Director	1 Apr 2004	Other	856081
Michael Walter Rose	Senior vice president	1 Apr 2004	Other	2346155
James Walter Cook	Treasurer	1 Apr 2004	Other	4555061
Richard Francis Tomney	Investment officer	1 Apr 2004	Other	4570511
Old Mutual (Us) Holdings Inc.	100% shareholder of old mutual capital, inc.	1 Apr 2004	75% - 100%	04-2714625
David John Bullock	Chief executive officer, president and director	1 Jul 2004	Other	704352
Mark Edward Black	Executive vice president, chief financial officer and chief administrative officer	1 Jul 2004	Other	4338136
William Thomas Davis	Executive vice president; affiliate relations	1 Jul 2004	Other	730850
Kenneth Robert Naes	Investment committee member	1 Oct 2004	Other	2054299
Matthew J Appelstein	Investment committee member	1 Oct 2004	Other	2359209
George Joseph Vogel	Executive vice president	1 Oct 2004	Other	1455028
Andra Cynthia Ozols	Executive vice president, general counsel and secretary	1 Jun 2005	Other	3070864
James Frank Lummanick	Senior vice president and chief compliance officer	1 Jun 2005	Other	2428959
Julian Fernand Sluyters	President, chief operating officer	1 Sep 2006	Other	2209394
Bruce Gilbert Parker	Chief executive officer	1 Oct 2006	Other	1040282
Thomas Moynihan Turpin	Director	1 Jan 2008	Other	1888979
Julian Fernand Sluyters	President, chief executive officer, chairman	1 Jun 2008	Other	2209394
Linda Tilton Gibson	Executive vice president, general counsel and secretary	1 Jul 2008	Other	1754883
James Edward Mikolaichik	Executive vice president, chief risk officer	1 Jul 2008	Other	5047043
Kathryn A Burns	Vice president, chief compliance officer	1 Mar 2010	Other	5203416
Kathryn Lee Santoro	Vice president, general counsel and secretary	1 May 2011	Other	5069721

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Om Group (Uk) Limited	100% shareholder of old mutual (us) holdings, inc.	1 Apr 2004	75% - 100%	foreign
Old Mutual Plc	100% shareholder of om group (uk) limited	1 Apr 2004	75% - 100%	foreign

Based in Denver

The principal office where Old Mutual Capital, Inc. performs its advisory services is located at 4643 South Ulster Street, Denver, CO 80237 2853, which is also the mailing address of the firm. An additional office of the firm is in Berwyn, PA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 720-200-7600. The normal business hours are 8:00-5:00 pm on Monday - Friday.