Councilmark Asset Management, LLC (Chattanooga)


Councilmark Asset Management, LLC is a large advisory firm based in Chattanooga. It manages $147.31 million of regulatory assets for 95 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of Tennessee.

Councilmark Asset Management provides portfolio management for individuals and small businesses 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.

Councilmark Asset Management: assets under management

The assets under management (AUM) of Councilmark Asset Management, LLC is $147.31 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 191% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $147.31 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.55 million each.

Investments

The firm invests in exchange traded securities the most. They account for 44% of the total AUM. The second-largest asset type is state and local bonds, which make up 30% of the firm’s portfolio. Investments in cash and cash equivalents form 16% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Councilmark Asset Management, LLC for their services and products based on a percentage of assets under management 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 Councilmark Asset Management serves?

The only and largest group of clients of Councilmark Asset Management is high net worth individuals with 27 clients and $123.47 million of assets under management. Among the 8 most similar advisory firms, Councilmark Asset Management has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $123.47 million for 27 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.

Councilmark Asset Management doesn't advise any private funds.

Careers at Councilmark Asset Management, 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. 3 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
Daniel Walden Pettway Member, managing partner, chief compliance officer 1 Sep 1999 Other 4379101
Llc Highpoint Management Company Member 1 Sep 1999 25% - 50% 62-1691722
Paul Frederick Spitznagel Member, cio 1 Sep 1999 Other 4379095
Llc Highpoint Management Company Member 1 Jan 2000 25% - 50% 62-1691722
Stanley Wayne Erwin Member, portfolio manager 1 Jul 2000 25% - 50% 4379103

Based in Chattanooga

The principal office where Councilmark Asset Management, LLC performs its advisory services is located at Dome Building, Suite 401, Chattanooga, TN 37402, which is also the mailing address of the firm. An additional office of the firm is in Knoxville, TN. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 423-424-2299 or by fax 423-267-4889. The normal business hours are 8:30 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at councilmark.com.