The TRADEMARK CAPITAL MANAGEMENT is a privately held investment adviser that advises $229.34mn in regulatory assets under management held in 2 SEC fund types across 2 investment strategies. TRADEMARK CAPITAL MANAGEMENT is a Retail Wealth A retail wealth manager is a manager whose >=75% of total assets under management are managed for individual investors through retail advisory or brokerage channels. Manager. Assets increased by 29.12% over the last 5-years.
The Group has been registered with the SEC for 26.22 years and is comprised of 1 filing and 0 relying advisers. They operate out of 2 office locations with their Headquarters at 1551 JENNINGS MILL ROAD SUITE 1200A, WATKINSVILLE, GA. The Group has not been subject to regulatory enforcement actions. They are regulated by 1 US and Non-US bodies.
They have 8 employees comprised of 4 investment and 4 non-investment staff. The total number of Employees increased by 100% over the last 5-years.
Their $229.34mn in assets advised are owned by 3 private funds, 0 public funds and BDCs and 26 other accounts. Assets of Pension and Profit Sharing Plans-Private clients own $99.94mn or 43.58% of Total Assets and Individuals own $48.53mn or 21.16% of Total Assets.
The Group's top investment strategies include Derivatives and Multi Strat, representing 92.06% and 7.94% of total assets, respectively.
They advise 4 types of clients, top clients are Pension and Profit Sharing Plans-Private and Individuals.
The Group uses 1 Fund Administrators, 1 Fund Auditors, 0 Prime Brokers, 3 Custodians and 0 Marketers. It does not report a third-party Fund Administrator in 1 private funds with $1.45mn in assets.
The Group discloses fixed fees, management fees and performance-based fees.
TRADEMARK CAPITAL MANAGEMENT names 0 sub-advisers to 0 different funds advised by the group. The Group has been named as the sub-adviser to 0 funds.
They have a MEDIUM-WATCH risk business model that requires a high degree of process maturity to manage operational risk. A Manager Group has a "High Complexity" when 25% or more of 63 business conditions measured require a high level of process maturity to manage the risk. The "Watch" suffix indicates that one or more of the following business conditions carry a high-complexity score: 1) % Fund Assets Valued Internally, 2) prior Regulatory Violations, 3) Unqualified Audits, 4) Multi-Functional C-Suite and 5) Business Concentration Risk with an Auditor or Administrator.
In TRADEMARK CAPITAL MANAGEMENT's case, they have 9 business conditions that require high process maturity and 2 Watch Factors.