Warburton Capital Management, LLC (Tulsa)

Name: Warburton Capital Management, LLC
Address: 15 East Fifth Street, Tulsa, OK, 74103
Telephone: 918-794-3000

Warburton Capital Management, LLC is a large advisory firm based in Tulsa. It manages $272.48 million of regulatory assets for 893 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of Illinois, Kansas, Oklahoma, and Texas.

Warburton Capital Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and pension consulting services. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Warburton Capital Management: assets under management

The assets under management (AUM) of Warburton Capital Management, LLC is $272.48 million. The firm's AUM has grown by 590% since the beginning of its operation, and $32.25 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $267.85 million in discretionary accounts and $4.63 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $301.29 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.16 million.

Investments

The firm invests in investment and business development companies the most. They account for 94% of the total AUM. The second-largest asset type is exchange traded securities, which make up 3% of the firm’s portfolio. Investments in government bonds form 2% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Warburton Capital Management, LLC 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.

What kind of clients Mark Reed Morley serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Mark Reed Morley is high net worth individuals with 88 clients and $239.38 million of assets under management. Among the 8 most similar advisory firms, Warburton Capital Management has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $272.48 million for 281 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.

Warburton Capital Management doesn't advise any private funds.

Careers at Warburton Capital Management, LLC

The company employs 5 people that are either part- or full-time employees. 80 percent of the employees work as investment advisers or researchers. 4 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person 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.

Mark Reed Morley has been acting as President since 1 Jan 2015. Isaac Edwin Hutchins joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Thomas Kent Warburton	Managing member	1 Jul 2006	25% - 50%	4802930
Thomas K Warburton	Managing member	1 Jul 2006	75% - 100%	4802930
Douglas Keith Scott	Chief compliance officer	1 Oct 2009	Other	2301806
Jonathan Mark Hall	Chief compliance officer	1 Sep 2014	Other	6239013
Mark Reed Morley	President	1 Jan 2015	25% - 50%	3147517
Isaac Edwin Hutchins	Chief compliance officer	1 Oct 2017	Other	6424198

Based in Tulsa

The principal office where Warburton Capital Management, LLC performs its advisory services is located at 15 East Fifth Street, Tulsa, OK 74103, 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 918-794-3000 or by fax 918-794-3130. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at warburtoncapital.com.