Ticc Management, LLC (Greenwich)


Ticc Management, LLC is a large advisory firm based in Greenwich. It manages $454.12 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdiction of Connecticut.

Ticc Management provides portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Ticc Management: assets under management

The assets under management (AUM) of Ticc Management, LLC is $454.12 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 122% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $454.12 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $454.12 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ticc Management, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Ticc Management serves?

The only and largest group of clients of Ticc Management is business development companies with 1 clients and $454.12 million of assets under management. Among the 12 most similar advisory firms, Ticc Management has the highest percentage of business development companies out of all clients.

The amount of regulatory assets under management is $454.12 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Ticc Management doesn't advise any private funds.

Careers at Ticc Management, LLC

The company employs 19 people that are either part- or full-time employees. 53 percent of the employees work as investment advisers or researchers. No 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.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Llc Bdc Partners Managing member 1 Jul 2003 75% - 100% 32-0052735
Jonathan Harris Cohen Ceo 1 Jul 2003 Other 1855647
Saul B Rosenthal Coo and president 1 Jul 2003 Other 3125081
Llc Oxford Funds Managing member 1 Jul 2003 75% - 100% 32-0052735
Llc Royce & Associates Member 1 Jul 2003 50% - 75% 107689
Patrick Francis Conroy Chief compliance officer 1 Dec 2003 Other 4781439
Charles Morgan Royce Member 1 Jul 2011 Other 406314
Gerald Richard Cummins Chief compliance officer 1 Jun 2015 Other 1322563
Inc. Royce Family Fund Member 1 Jul 2015 Other 13-3318620
Bruce Rubin Chief financial officer 1 Aug 2015 Other 6554037
Bruce Lawrence Rubin Chief financial officer 1 Aug 2015 Other 6554037

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc Legg Mason Sole member 1 Oct 2001 75% - 100% 47-0210602
Saul Barak Rosenthal Member 1 Jul 2003 25% - 50% 3125081

Based in Greenwich

The principal office where Ticc Management, LLC performs its advisory services is located at 8 Sound Shore Drive, Suite 255, Greenwich, CT 06830, 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 203-983-5275 or by fax 203-983-5290. The normal business hours are 8:30am-5:30pm on Monday - Friday.