Sutro & Co. Incorporated (San Francisco)

Name: Sutro & Co. Incorporated
Address: 201 California Street, San Francisco, CA, 94111
Telephone: 415-445-6300

Sutro & Co. Incorporated is a large advisory firm based in San Francisco. It manages $1.22 billion of regulatory assets for 2,466 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Arizona, California, Nevada, and Oregon.

Sutro & Co. Incorporated provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, pension consulting services, and security ratings or pricing services. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Sutro & Co. Incorporated: assets under management

The assets under management (AUM) of Sutro & Co. Incorporated is $1.22 billion. 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 $375.9 million in discretionary accounts and $839.69 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $388.73 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $560.16 thousand.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Sutro & Co. Incorporated 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 Sutro & Co. Incorporated

Thomas Ray Weinberger has been acting as President since 1 Mar 1994. Royal Bank Of Canada joined the executive team most recently as the Indirect Owner.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Donald James Willfong	Director	1 May 1973	Other	467416
The Sutro Group	Holding co. / sutro & co.	1 Aug 1980	75% - 100%	94-2624410
John Ford Luikart	Ceo	1 Feb 1988	Other	314209
Mary Jane Delaney	Executive vice president / general counsel / secretary	1 Oct 1991	Other	1194845
Tom Juda	Executive vice president / director	1 Dec 1991	Other	262530
Roger Naoki Matsui	Chief financial officer	1 Jan 1992	Other	1672347
Thomas Ray Weinberger	President	1 Mar 1994	Other	848197
Fergus Joseph Henehan	Chief admin. officer	1 Mar 1994	Other	1174116
Jerry Don Phillips	Executive vice president	1 Jan 1995	Other	1308109
Tucker Anthony Incorporated	Under common ownership	1 Nov 1996	Other	837
Tucker Anthony Sutro Incorporated	Parent company	1 Nov 1996	Other	13-3121913
Denis Joseph Mccarthy	Director of compliance regulatory affairs	1 Jul 1998	Other	1415768
Charles William Hubbard	Executive vice president/director	1 Jan 1999	Other	846511

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Tucker Anthony Sutro	Indirect owner	1 Apr 1986	75% - 100%	13-3121913
Jhfsc Acquisition Corp.	Indirect owner	1 Nov 1996	75% - 100%	04-3335712
Thomas H. Lee Equity Fund Iii	Indirect owner	1 Nov 1996	25% - 50%	04-3279871
Scp Private Equity L.P.	Indirect owner	1 Nov 1996	Other	23-2854478
Royal Bank Of Canada	Indirect owner	1 Oct 2001	75% - 100%
Rbc Holdings (Usa) Inc.	Indirect owner	1 Oct 2001	75% - 100%	none

Based in San Francisco

The principal office where Sutro & Co. Incorporated performs its advisory services is located at 201 California Street, San Francisco, CA 94111, 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 415-445-6300 or by fax 415-398-2901. The normal business hours are 6:30 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at sutro.com.