B.B. Graham & Company, Inc. (Orange)

Name: B.B. Graham & Company, Inc.
Address: 1700 W. Katella Ave., Orange, CA, 92867
Telephone: (714) 628-5200

B.B. Graham & Company, Inc. is a large advisory firm based in Orange. It manages $138.82 million of regulatory assets for 416 client accounts. It has been registered with the SEC as an adviser since 2015 and has operated in the jurisdictions of Alaska, Arizona, California, and 29 other states.

B.B. Graham & Company provides financial planning services, portfolio management for individuals and small businesses, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

B.B. Graham & Company: assets under management

The assets under management (AUM) of B.B. Graham & Company, Inc. is $138.82 million. The firm's AUM has grown by 295% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $26.49 million in discretionary accounts and $112.33 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $413.89 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $319.12 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 62% of the total AUM. The second-largest asset type is investment and business development companies, which make up 26% of the firm’s portfolio. Investments in cash and cash equivalents form 4% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay B.B. Graham & Company, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients B.B. Graham & Company serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of B.B. Graham & Company is individuals with 391 clients and $83.24 million of assets under management. Among the 9 most similar advisory firms, B.B. Graham & Company has the 3rd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $138.82 million for 416 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

B.B. Graham & Company doesn't advise any private funds.

Careers at B.B. Graham & Company, Inc.

The company employs 27 people that are either part- or full-time employees. 93 percent of the employees work as investment advisers or researchers. 25 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
Bruce Edwin Graham	President, chief financial officer, finop	1 Jul 1996	75% - 100%	2563258
Douglas Brad Callen	Senior vice president	1 Oct 2010	Other	2133945
Marie Elizabeth Godinez	Chief operations officer	1 Jan 2014	Other	3020086
John Wayne Jr Bettfreund	Chief compliance officer	1 Aug 2014	Other	1448436

Based in Orange

The principal office where B.B. Graham & Company, Inc. performs its advisory services is located at 1700 W. Katella Ave., Orange, CA 92867, which is also the mailing address of the firm. An additional office of the firm is in Lincolnshire, IL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (714) 628-5200 or by fax 714-516-3340. The normal business hours are 6:30am to 2:30pm on Monday - Friday. You can find more information about the New York firm at bbgraham.com.