Vident Investment Advisory, LLC (Alpharetta)

Name: Vident Investment Advisory, LLC
Address: 1125 Sanctuary Pkwy, Alpharetta, GA, 30009
Telephone: (404) 487-1961

Vident Investment Advisory, LLC is a large advisory firm based in Alpharetta. It manages $4.01 billion of regulatory assets for 126 client accounts. It has been registered with the SEC as an adviser since 2014 and has operated in the jurisdictions of California, Georgia, Illinois, and 5 other states.

Vident Investment Advisory provides portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Vident Investment Advisory: assets under management

The assets under management (AUM) of Vident Investment Advisory, LLC is $4.01 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 1548% since the beginning of its operation, and $18.85 million of the total AUM is attributable to clients outside of the United States.

The firm manages $4.01 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $31.85 million each.

Investments

The firm invests in state and local bonds the most. They account for 43% of the total AUM. The second-largest asset type is government bonds, which make up 30% of the firm’s portfolio. Investments in investment grade corporate bonds form 14% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Vident Investment Advisory, LLC for their services and products based on a percentage of assets under management and fixed 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.

What kind of clients Denise Marie Krisko serves?

The firm provides services to individuals, investment companies, charitable organizations, high net worth individuals, and pooled investment vehicles. The largest group of clients of Denise Marie Krisko is investment companies with 38 clients and $3.87 billion of assets under management. Among the 11 most similar advisory firms, Vident Investment Advisory has the 2nd highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $4.01 billion for 126 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Vident Investment Advisory doesn't advise any private funds.

Careers at Vident Investment Advisory, LLC

The company employs 10 people that are either part- or full-time employees. 60 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Denise Marie Krisko has been acting as President since 1 Nov 2014. Shirish Trimbak Malekar has served as the Chief Investment Officer since 1 Mar 2015 and Nicholas Arnold Stonestreet is the Chief Executive Officer of Vident Investment Advisory, LLC family office. Brian Lowell Shepler joined the executive team most recently as the Trustee.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Llc Vident Financial	Member	1 Mar 2014	75% - 100%	90-1012699
Nicholas Arnold Stonestreet	Chief executive officer	1 Mar 2014	Other	2344559
Andrew Thomas Schmuhl	Chief compliance officer	1 Mar 2014	Other	4011301
Denise Marie Krisko	President	1 Nov 2014	Other	2121344
Shirish Trimbak Malekar	Chief investment officer	1 Mar 2015	Other	1770950
Jumana Poonawala	Chief operating officer	1 Jul 2016	Other	6694962
Anne Christine Czizek	Chief compliance officer	1 Dec 2016	Other	1379550
Anne Christine Czizek	Chief compliance officer	1 Jan 2017	Other	1379550
Deborah Kay Kimery	Executive committee member	1 Sep 2017	Other	2919976
Vince Leonard Birley	Managing member and executive committee member	1 Sep 2017	Other	1406263

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Vident Investors' Oversight Trust	Member	1 Aug 2013	75% - 100%	46-3540159
Nicholas Arnold Stonestreet	Trustee	1 Aug 2013	Other	2344559
Andrew Thomas Schmuhl	Trustee	1 Aug 2013	Other	4011301
Vince Leonard Birley	Trustee	1 Aug 2013	Other	1406263
Brian Lowell Shepler	Trustee	1 Sep 2018	Other	2709849
Mohammad Immanuel Baki	Trustee	1 Sep 2018	Other	2583093

Based in Alpharetta

The principal office where Vident Investment Advisory, LLC performs its advisory services is located at 1125 Sanctuary Pkwy, Alpharetta, GA 30009, which is also the mailing address of the firm. An additional office of the firm is in Morristown, NJ. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (404) 487-1961 or by fax (404) 487-1962. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at videntinvestmentadvisory.com/.