RIA W/ Seasoned Tech/Small Cap Growth SMA Vehicles

17-year-old Midwest US-based RIA for sale. The RIA exists to run Tech/Small Cap Growth-focused separately managed account (SMA) vehicles. Over $6m in AUM now but capacity for $150 million with same performance. The portfolio manager has run successful mutual funds with AUM > $500 million.

As of December 31, 2024, the Tech portfolio had a trailing-10-year Sharpe ratio of 0.65 and an information ratio of 0.39 per Morningstar’s Separate Account database. It had an "Overall" Morningstar rating of three stars (out of five). The Small Cap Growth portfolio had a trailing-10-year Sharpe ratio of 0.69 and an information ratio of 0.12. It had an "Overall" Morningstar rating of five stars (out of five). The Tech portfolio's absolute, gross-of-fees annualized return since inception (March 31, 2009) through December 31, 2024 was 18.62%. The Small Cap Growth portfolio's absolute, gross-of-fees annualized return since inception (November 30, 2014) through December 31, 2024 was 14.86%.


Portfolio is fully seasoned. Extremely disciplined and repeatable process in use since 2002. 50-stock portfolio (Tech) from inception. Long-only; no shorts, ETFs, derivatives or use of margin. Manager is 27-year money management vet. Wall Street Journal Category King in Small Cap Growth in 2006. Pensions & Investments Top Performing Manager for year ending 9/30/17.

The PM has strong media profile; regularly quoted by US News & World Report, Forbes, TheStreet, Pensions & Investments, Kiplinger's etc.

Federal trademarks secured on firm and product names; have already received Notice of Acceptance and Renewal under USPTO Sections 8 & 9 for both trademarks. All records available. Firm GIPS-verified in April 2012 and again in March 2016.

Seller open to a variety of arrangements, including outright sale, sub-advisory relationship, distribution agreement or dual registration. Post-transaction management arrangement negotiated separately. Manager can relocate to join acquiring or partner firm.