Clayton Partners LLC (Berkeley)

Name: Clayton Partners LLC
Address: 3160 College Avenue, Berkeley, CA, 94705
Telephone: 415-296-5070

Clayton Partners LLC is a large advisory firm based in Berkeley. It manages $96.77 million of regulatory assets for 89 client accounts. It has been registered with the SEC as an adviser since 2015 and has operated in the jurisdiction of California.

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

Clayton Partners: assets under management

The assets under management (AUM) of Clayton Partners LLC is $96.77 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -19% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $96.77 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.09 million each.

Investments

The firm invests in exchange traded securities the most. They account for 76% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 11% of the firm’s portfolio. Investments in investment and business development companies form 7% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Clayton Partners 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.

What kind of clients Clayton Partners serves?

The firm provides services to individuals, high net worth individuals, and pooled investment vehicles. The largest group of clients of Clayton Partners is high net worth individuals with 18 clients and $54.88 million of assets under management. Among the 7 most similar advisory firms, Clayton Partners has the 3rd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $96.77 million for 33 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 2% of the firm’s clients are foreign persons or businesses.

Clayton Partners also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $500,000 for each fund.

Careers at Clayton Partners LLC

The company employs 3 people that are either part- or full-time employees. 100 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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Jason Gordon Stankowski	Manager/member	1 Jan 2009	25% - 50%	2331752
Gregory Wayne Johnson	Manager/member/chief compliance officer	1 May 2010	25% - 50%	5111140
Brian Guy Lancaster	Manager/member	1 Jan 2011	25% - 50%	2636780
Alex Gates	Chief compliance officer	1 Jul 2017	Other	6842445

Based in Berkeley

The principal office where Clayton Partners LLC performs its advisory services is located at 3160 College Avenue, Berkeley, CA 94705, 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 415-296-5070 or by fax 415-296-5074. The normal business hours are 6:00am to 4:00pm on Monday - Friday. You can find more information about the New York firm at claytonpartners.com.