Wasmer, Schroeder & Company, LLC (Naples)


Wasmer, Schroeder & Company, LLC is a large advisory firm based in Naples. It manages $8.89 billion of regulatory assets for 4,608 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 45 other states.

Wasmer, Schroeder & Company provides portfolio management for individuals and small businesses, portfolio management for investment companies, 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.

Wasmer, Schroeder & Company: assets under management

The assets under management (AUM) of Wasmer, Schroeder & Company, LLC is $8.89 billion. The firm's AUM has grown by 23809% since the beginning of its operation, and $445.16 million of the total AUM is attributable to clients outside of the United States.

The firm manages $8.84 billion in discretionary accounts and $56.73 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.94 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $945.44 thousand.
Wasmer, Schroeder & Company has custody of $35.13 million in cash and securities for 14 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in state and local bonds the most. They account for 76% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 13% of the firm’s portfolio. Investments in government bonds form 8% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Wasmer, Schroeder & Company, 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 Justin Stewart Land serves?

The firm provides services to individuals, insurance companies, investment companies, charitable organizations, high net worth individuals, pooled investment vehicles, banking or thrift institutions, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Justin Stewart Land is high net worth individuals with 1,882 clients and $4.66 billion of assets under management. Among the 8 most similar advisory firms, Wasmer, Schroeder & Company has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $8.89 billion for 4,608 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 5% of the firm’s clients are foreign persons or businesses.

Wasmer, Schroeder & Company doesn't advise any private funds.

Careers at Wasmer, Schroeder & Company, LLC

The company employs 67 people that are either part- or full-time employees. 49 percent of the employees work as investment advisers or researchers. 27 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 compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Justin Stewart Land has been acting as President since 1 Jun 2019. Robert William Stiess joined the executive team most recently as the Vice President Director Of Information Systems.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Martin Manning Wasmer Chief executive officer 1 Jan 1987 Other 1201458
Michael John Schroeder President & chief risk officer 1 Aug 1991 Other 1007003
Kevin John Kleinsmith Principal 1 Jul 2001 Other 1492940
John Stephen Majoros Principal 1 Jul 2001 Other 1975104
Thomas Noyes Richmond Principal 1 Jul 2001 Other 1799638
Schroeder & Company Inc. Wasmer Minority owner 1 Jul 2001 25% - 50% 59-2771369
Josephine Mary Dimolfetta Senior vice president - chief compliance officer 1 Jun 2005 Other 2431012
Edward Allen Morton Managing director 1 Feb 2007 Other 5297520
John Stephen Majoros Managing director - director of taxable portfolio management 1 Jan 2008 Other 1975104
Thomas Noyes Richmond Managing director - chief investment officer 1 Jan 2008 Other 1799638
Elizabeth Reed Mchugh Senior vice president - director of client services 1 Mar 2008 Other 5774803
Jason Duane Diefenthaler Senior vice president - director of tax exempt portfolio management 1 May 2010 Other 4895764
Justin Stewart Land Senior vice president - director of tax exempt portfolio management 1 Sep 2013 Other 4895694
Schroeder & Company Inc. Wasmer Manager 1 Mar 2017 75% - 100% 59-2771369
Assured Guaranty Municipal Corp. Member 1 Sep 2017 Other 13-3250292
Justin Stewart Land Senior vice president - chief municipal strategist 1 Jan 2018 Other 4895694
Robert William Stiess Vice president - director of information systems 1 Mar 2018 Other 6930403
Justin Stewart Land President 1 Jun 2019 Other 4895694

Indirect Owners

The SEC currently registers 3 indirect owners.

Name Entity Date acquired Ownership Employer ID
Assured Guaranty Municipal Holdings Inc. Owner 1 Sep 1986 75% - 100% 13-3261323
Assured Guaranty Us Holdings Inc. Owner 1 Jul 2009 75% - 100% 20-1082002
Assured Guaranty Ltd. Owner 1 Mar 2013 75% - 100% 98-0429991

Based in Naples

The principal office where Wasmer, Schroeder & Company, LLC performs its advisory services is located at 600 Fifth Avenue South, Naples, FL 34102, which is also the mailing address of the firm. An additional office of the firm is in Cleveland, OH. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 239-263-6877 or by fax 239-263-8146. The normal business hours are 8:30am - 5:30pm on Monday - Friday. You can find more information about the New York firm at wasmerschroeder.com/ and its LinkedIn profile.