Roger Engemann & Associates, Inc (Pasadena)

Name: Roger Engemann & Associates, Inc
Address: 600 N. Rosemead Blvd, Pasadena, CA, 91107 2101
Telephone: 626-351-9686

Roger Engemann & Associates, Inc is a large advisory firm based in Pasadena. It manages $4.4 billion of regulatory assets for 10,099 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 47 other states.

Roger Engemann & Associates 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.

Roger Engemann & Associates: assets under management

The assets under management (AUM) of Roger Engemann & Associates, Inc is $4.4 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -69% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $4.4 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $435.19 thousand each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Roger Engemann & Associates, 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 Roger Engemann & Associates, Inc

Constance Gretchen Smith Lash has served as the Chief Investment Officer since 1 Oct 2001. Matthew Lee Hall joined the executive team most recently as the Excutive Vice President Of Business Developement.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
John Roger Engemann	President & director	1 Jan 1972	Other	2145135
James Edwin Mair	Executive vice president	1 Mar 1983	Other	2197883
John Stanley Tilson	Executive vice president	1 Dec 1983	Other	447033
John Roger Engemann	President of parent company	1 Dec 1988	Other	2145135
Pasadena Capital Corporation	Parent company	1 Dec 1988	75% - 100%	95-4187880
Mary Leonard Fitzpatrick	Senior vice president	1 Apr 1994	Other	1232708
Paul Lecompte	Senior vice president & coo	1 Aug 1994	Other	2488070
Malcolm Axon	Chief financial officer & secretary	1 Mar 1995	Other	2467348
Tina Louise Mitchell	Vice president, compliance	1 Jan 1997	Other	1727463
Ltd. (Formerly Known As Phoenix Duff & Phelps Corp.) Phoenix Investment Partners	Owner of parent	1 Sep 1997	75% - 100%	06-1369527
Matthew Lee Hall	Senior vice president	1 Feb 1999	Other	2266756
Scott Swanson	Vice president & sr. research analyst	1 Mar 1999	Other	2198688
James Chun Kwok Chen	Vice president & sr. research analyst	1 Mar 1999	Other	4329939
Ned W Brines	Vice president & sr. research analyst	1 Mar 1999	Other	2447281
Yossi Lipsker	Vice president & sr. research analyst	1 Mar 1999	Other	4329940
Nancy Jean Engberg	Vice president, gen. counsel & asst. sec.	1 Mar 2000	Other	2952960
Louis Millett Holtz	Vice president & research analyst	1 Jan 2001	Other	4329938
Constance Gretchen Smith Lash	Chief investment officer	1 Oct 2001	Other	1846249
Mary Leonard Fitzpatrick	Executive vice president	1 Dec 2001	Other	1232708
David Garza	Vice president & sr. research analyst & portfolio manager	1 Oct 2002	Other	2018107
David Phillip Garza	Vice president & sr. research analyst & portfolio manager	1 Oct 2002	Other	2488344
Scott Swanson	Vice president & sr. portfolio manager	1 Dec 2002	Other	2198688
John Roger Engemann	Chairman of the board of parent company	1 May 2003	Other	2145135
Constance Gretchen Smith Lash	Chief executive officer & president & chief investment officer & portfolio manager	1 May 2003	Other	1846249
Matthew Lee Hall	Excutive vice president of business developement	1 Dec 2003	Other	2266756

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Pm Holdings Inc.	Shareholder of phoenix home life	1 Sep 1997	50% - 75%	06-0493340
Phoenix Home Life Mutual Life Insurance Company	Shareholder of owner of parent	1 Sep 1997	75% - 100%	06-0493340
The Phoenix Companies Inc.	Parent company of phoenix investment co inc.	1 Jun 2001	75% - 100%	06-1599088
Phoenix Investment Company Inc.	Shareholder of owner of parent	1 Jun 2001	50% - 75%	06-1605029
Phoenix Investment Management Company Inc.	Shareholder of owner of parent	1 Jun 2001	50% - 75%	06-1605029

Based in Pasadena

The principal office where Roger Engemann & Associates, Inc performs its advisory services is located at 600 N. Rosemead Blvd, Pasadena, CA 91107 2101, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 626-351-9686 or by fax 626-351-1174. The normal business hours are 7:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at www.rea-invest.com.