Efficent Capital Management, LLC (Naperville)


Efficent Capital Management, LLC is a large advisory firm based in Naperville. It manages $62.5 million of regulatory assets for 7 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdiction of Illinois.

Efficent Capital Management provides portfolio management for pooled investment vehicles, pension consulting services, and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Efficent Capital Management: assets under management

The assets under management (AUM) of Efficent Capital Management, LLC is $62.5 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $62.5 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $8.93 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Efficent Capital Management, LLC for their services and products based on a percentage of assets under management and performance-based fees. 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 Efficent Capital Management, LLC

William Judson Aulie has served as the Chief Investment Officer since 1 Jun 1999. Donna Marie Allen joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Ernest Lee Jaffarian President & ceo 1 Apr 1999 Other 2013844
William Judson Aulie Chief investment officer 1 Jun 1999 Other 2972441
Llc Jaffarian Management Company Manager 1 Jul 1999 50% - 75% 36-4291545
Ltd. Phillip Brokerage Private Member 1 Jul 1999 Other foreign
Mijen Family Limited Partnership Member 1 Jul 1999 Other 36-4297053
Llc Ginter Capital Management Member 1 Jul 1999 Other 36-4299643
Anthony Joseph Saliba Member 1 Jul 1999 Other 845896
William Carl Floersch Member 1 Jul 1999 Other 2376600
Ronald Leslie Davis Chief operations officer 1 Oct 2001 Other 1162672
James Martin Field Chief financial officer 1 Feb 2002 Other 5070358
Chad Richard Martinson Chief technology officer 1 Mar 2002 Other 5070363
David Adams Martin Director of due diligence 1 Aug 2003 Other 5071470
J. Timothy Onufrock General counsel 1 Jun 2004 Other 5070571
Michael Roy Marcey Director of business developement 1 Sep 2004 Other 5071475
Donna Marie Allen Chief compliance officer 1 Jul 2005 Other 1206173

Indirect Owners

The SEC currently registers 6 indirect owners.

Name Entity Date acquired Ownership Employer ID
Hau Min Lim Shareholder 1 Jan 1993 75% - 100% 5076770
Ernest Lee Jaffarian Manager 1 May 1999 50% - 75% 2013844
Trula Madsen Jaffarian Member 1 May 1999 25% - 50% 5076778
Peter John Layton General partner 1 May 1999 Other 2217531
Tracy Jean Layton General partner 1 May 1999 Other 1877055
Joanna Kay Ginter Manager 1 Jun 1999 75% - 100% 5076958

Based in Naperville

The principal office where Efficent Capital Management, LLC performs its advisory services is located at 300 East 5 Th Avenue, Suite 300, Naperville, IL 60563, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 630-753-1200 or by fax 630-848-1364. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at www.efficientcapital.com.