M.D. Sass Macquarie Financial Strategies Management Company, LLC (New York)


M.D. Sass Macquarie Financial Strategies Management Company, LLC is a related adviser based in New York. It manages $68.18 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of New York and Texas.

M.D. Sass Macquarie Financial Strategies Management Company provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

M.D. Sass Macquarie Financial Strategies Management Company: assets under management

The assets under management (AUM) of M.D. Sass Macquarie Financial Strategies Management Company, LLC is $68.18 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -42% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $68.18 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $34.09 million each.
M.D. Sass Macquarie Financial Strategies Management Company has custody of $93.66 million in cash and securities for 2 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay M.D. Sass Macquarie Financial Strategies Management Company, 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 Martin Douglas Sass serves?

The only and largest group of clients of Martin Douglas Sass is pooled investment vehicles with 2 clients and $68.18 million of assets under management. Among the 3 most similar advisory firms, M.D. Sass Macquarie Financial Strategies Management Company has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $68.18 million for 2 clients. None of the firm’s clients are foreign persons or businesses.

M.D. Sass Macquarie Financial Strategies Management Company also advises several private funds. Namely, two private equity funds. The minimum investment commitment required of non-related persons ranges from $250,000 to $5,000,000.

Careers at M.D. Sass Macquarie Financial Strategies Management Company, LLC

The company employs 9 people that are either part- or full-time employees. 33 percent of the employees work as investment advisers or researchers. No 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.

Martin Douglas Sass has been acting as President since 1 Apr 2002. Macquarie Equities (Us) Holding Pty Limited joined the executive team most recently as the Owner.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Martin Douglas Sass Chairman/chief executive officer/director 1 Apr 2002 Other 411144
Hugh Roy Lamle President / director 1 Apr 2002 Other 301153
Steven Alan Shenfeld Director 1 Apr 2002 Other 1176990
Llc M.D. Sass Financial Holdings Member 1 Apr 2002 25% - 50% 20-0078345
Llc Weathervane Capital Partners Member 1 Apr 2002 Other 26-0003963
Robert William Francess Chief financial officer 1 Apr 2005 Other 4083944
Philip Matthew Sivin Chief financial officer, senior managing director 1 Jul 2005 Other 4362220
Jonathan A Hall Director 1 Jul 2005 Other 5794458
Bobby Liu Chief operating officer, general counsel, chief compliance officer 1 Aug 2006 Other 4771903
Inc. Macquarie Holdings (Usa) Member 1 Aug 2006 25% - 50% 13-3789912
Oliver Tennant Yates Director 1 Aug 2006 Other 3013840
Peter Bruce Lucas Director 1 Aug 2006 Other 5212864
Frederick Peter Forni Director 1 Aug 2006 Other 4289760
Stephen Jon Darke Director 1 Dec 2006 Other 5269777
Scott D Arden Chief financial officer 1 Mar 2007 Other 1939543
Charles Warwick Stiles Wheeler Director 1 Sep 2007 Other 5409762
Daniel Mitchel Fishbane Chief financial officer 1 Jan 2008 Other 1995007
Gervaise Robert John Heddle Director 1 Sep 2008 Other 4855936
Shemara Raneen Wikramanayake Director 1 Jan 2009 Other 5621754
Peter Bruce Lucas Director 1 May 2010 Other 5212864
Ari Sass Senior vice president 1 Jun 2010 Other 6046600
Michael Vitelli Director 1 Nov 2012 Other 2899567

Indirect Owners

The SEC currently registers 16 indirect owners.

Name Entity Date acquired Ownership Employer ID
Macquarie Equities (Us) Holding Pty Limited Owner 1 Aug 1994 75% - 100% n/a
Macquarie Bank Limited Owner 1 Aug 1997 75% - 100% 98-0163788
Inc. M.D. Sass Investors Services Managing member 1 Apr 2002 Other 110590
Macquarie Group Limited Owner 1 Feb 2007 75% - 100% na
Macquarie Corporate International Holdings Pty Limited Owner 1 Feb 2007 75% - 100% 98-0530186
Macquarie Group (Us) Holdings No.1 Pty Ltd. Owner 1 Apr 2007 75% - 100% 98-0530184
Macquarie Bank Limited Owner 1 Apr 2007 75% - 100% 98-0163788
Macquarie Group International Holdings Pty Ltd. Owner 1 Apr 2007 75% - 100% 98-0530186
Macquarie Group Limited Owner 1 Nov 2007 75% - 100% na
Macquarie Capital International Holdings Pty Ltd. Owner 1 Nov 2007 75% - 100% 98-0530186
Macquarie Financial Holdings Limited Owner 1 Nov 2007 75% - 100% na
Macquarie Capital Group Pty Ltd Owner 1 Nov 2007 75% - 100% na
Macquarie Financial Holdings Pty Limited Owner 1 Nov 2007 75% - 100% na
Macquarie Corporate Holdings Pty Limited Owner 1 Nov 2007 75% - 100% na
Macquarie Holdings (Usa) Inc. Owner 1 Nov 2007 25% - 50% na
Macquarie Equities (Us) Holding Pty Limited Owner 1 Jan 2014 75% - 100% n/a

Based in New York

The principal office where M.D. Sass Macquarie Financial Strategies Management Company, LLC performs its advisory services is located at 55 West 46 Th Street, New York, NY 10036, 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 212-730-2000 or by fax 212-764-0381. 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 mdsass.com.