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5 RIAs Active in ESG Investments

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To shine a light on the Registered Investment Advisor (RIA) landscape, FINTRX - family office and RIA database provider has compiled the RIA Industry Spotlight to highlight five RIA firms actively making ESG (Environmental, Social, and Governance) investments...


1. 3rd Creek Investments

Established as a Registered Investment Advisor (RIA) in 2001, 3rd Creek Investments is an Incline Village NV-based Registered Investment Advisor offering advisory services to high-net-worth families, individuals, charitable organizations, trusts, and non-profit organizations (including foundations, defined contribution plans, defined benefit plans, other profit-sharing plans, and corporations). The firm offers core investment advisory services, financial planning, and accounting & tax preparation. Planning services include charitable giving strategies, tax planning, trust, and estate planning, retirement planning, education, and other life event planning, and personal budgeting.

The minimum account size is $500,000 for investment advisory services and $1,000,000 for investment advisory services plus other advisory consulting services. Evaluation techniques performed include evidence-based analysis, fundamental analysis, industry and sector analysis, rating services, and ESG analysis. The firm’s investment strategy employed is a buy-and-hold strategy.

As of June, 3rd Creek Investments manages approximately $122.6M discretionarily and $9.2M in non-discretionary assets. Since Last year, the group's assets under management have increased by roughly 16%. Besides the group’s domestic client base, 3rd Creek Investments also manages foreign assets.

3rd Creek Investments employs a team of three employees, all of whom regularly perform advisory functions. They hold its assets with custodians, including Charles Schwab & Co., Inc. and TD Ameritrade, Inc. 3rd Creek Investments has several industry affiliations, including those with 3rd Creek Accounting.

- Headquarters: Incline Village, NV
- Additional Office Locations: 2
- Total Employees: 3
- Total Reps: 3
- Assets Under Management (AUM): $131.8M
- Discretionary AUM: $122.6M
- Non-Discretionary AUM: $9.2M
- Client Base: Individual & Family; Institutional
- Fee Structure: Percentage of AUM; Hourly Charges; Fixed Fees
- Specialties: Financial Planning Services; Portfolio Management for Individuals/Small Businesses; Portfolio Management for Businesses or Institutions; Selection of other Advisors


2. Accredited Investors Wealth Management

Established in 1987, Accredited Investors Wealth Management is an Edina MN-based Registered Investment Advisor (RIA) offering advisory services primarily to individuals and high-net-worth individuals. The firm offers a variety of services, including wealth management, investment planning, debt management, asset protection, disability & income management, estate planning, and more. Accredited Investors will advise on the following securities: Mutual Funds, Exchange-Traded Funds, Closed-End Funds, Individual Equity Securities, and Individual Fixed-Income Securities. The firm employs several investment strategies, including ESG investment strategies.

As of June, Accredited Investors Wealth Management manages about $3.21B discretionarily and $172M in non-discretionary assets. Since last year, the firm's assets under management have increased by roughly 26%. Besides its domestic client base, Accredited Investors Wealth Management also manages foreign assets. The vast majority of the firm’s assets are held as Exchange-Traded Funds (ETFs) and mutual funds, both actively and passively managed.

When determining the specific investment vehicle to represent strategic and tactical asset allocations, Accredited often considers expense ratios, fund size, firm size, risk and return metrics, performance history, compensation practices, and style biases. The firm has no control over the investment strategies or decisions of third-party managers; however, Accredited will monitor client accounts and perform due diligence of third-party managers. The group employs a team of 49 employees, 11 of which regularly perform advisory functions. Accredited currently uses Charles Schwab & Co., Inc. as their sole custodian and houses all assets with the group.

- Headquarters: Edina, MN
- Additional Office Locations: 1
- Total Employees: 49
- Total Reps: 11
- Assets Under Management (AUM): $3.4B
- Discretionary AUM: $3.2B
- Non-Discretionary AUM: $172M
- Client Base: Individual & Family
- Fee Structure: Percentage of AUM; Fixed Fees
- Specialties: Financial Planning Services; Portfolio Management for Individuals/Small Businesses; Selection Of Other Advisors


3. Alvin Clay Financial Advisors, LLC (ACFA)

Established in 2015, Alvin Clay Financial Advisors, LLC (ACFA) is a Jenkintown PA-based Registered Investment Advisor (RIA) providing advisory services to individuals, high-net-worth individuals, pension and profit-sharing plans, charitable organizations, private education institutions, and other business entities. The firm conducts financial planning services, portfolio management for individuals, small businesses and institutions, pension consulting services, selection of other advisors and educational workshops.

ACFA begins a series of periodic consultations to discuss financial circumstances and objectives and to assist clients in determining an appropriate set of financial goals, the time horizon for client investments, and the client’s level of risk tolerance. Alvin Clay uses the information they gather during these consultations to develop an investment strategy that enables the firm to manage investment portfolios continuously. ACFA uses MPT, long- and short-term purchases, as well as ESG investing when providing investment advice to clients.

Alvin Clay allocates capital among various asset classes, asset managers, and particular securities based on market assumptions and investment needs and circumstances. ACFA arrangement provides clients with a variety of account, performance, due diligence, research and risk management tools, and administrative services, allowing them to deliver advisory services. The group requires a minimum of $250,000 to open and maintain an advisory account.

ACFA offers discretionary portfolio management services. As of June, Alvin Clay Financial Advisors manages about $93.1M discretionarily. Besides the group’s domestic client base, ACFA also manages foreign assets. Since last year, the firm's assets under management have increased by roughly 19%. Its assets are held by multiple custodians including Ascensus Trust Company and Sei Private Trust Company. 

- Headquarters: Jenkintown, PA
- Additional Office Locations: 1
- Total Employees: 3
- Total Reps: 5
- Assets Under Management (AUM): $93.1M
- Discretionary AUM: $93.1B
- Non-Discretionary AUM: $0
- Client Base: Individual & Family; Institutional
- Fee Structure: Percentage of AUM; Hourly Charges; Fixed Fees
- Specialties: Financial Planning Services; Portfolio Management for Individuals/Small Businesses; Portfolio Management for Businesses or Institutions; Pension Consulting Services; Selection of other Advisors; Educational Seminars/Workshops


4. Boston Common Asset Management, LLC

Founded in 2002, Boston Common Asset Management, LLC is a Boston MA-based Registered Investment Advisor (RIA) offering advisory services to high-net-worth individuals, charitable organizations, pension & profit-sharing plans, state entities, taxable and tax-exempt institutional clients, commingled investment vehicles, and mutual funds. The firm is an investment adviser that offers a variety of clients discretionary investment management services in the areas of equity and balanced accounts. In addition to its headquarters, Boston Common also operates out of an additional office in San Francisco, CA.

Boston Common also offers investment advising services through wrap accounts sponsored by other investment advisors or broker-dealers, as well as an ESG model portfolio that unaffiliated advisors can license and use to make investment choices on behalf of their clients. Clients with portfolios that exceed certain asset criteria specified by Boston Common can customize the ESG guidelines that apply to their holdings. The firm has built a large global network of contacts, including non-governmental organizations, regional social investment organizations, corporate social responsibility practitioners, social justice organizations, and industry associations, to help it obtain primary information on corporate activities in a variety of locations.

Boston Common oversees an international Catholic strategy that aims to invest in a diverse portfolio of high-quality non-U.S. stocks. The firm's stock selection generates a purchase list for each of its investment strategies, which includes equities of good quality and trade at a discount to their true value. As of June, Boston Common manages approximately $5.8B discretionarily. Since last year, the firm's assets under management have increased by roughly 50%. Besides the group’s domestic client base, Boston Common also manages foreign assets.

The group employs a team of 40 employees, 9 of which regularly perform advisory functions. In addition to its traditional services rendered, Boston Common also serves as an advisor to private funds. The group holds its assets with custodians, including Charles Schwab and U.S. Bank. 

- Headquarters: Boston, MA
- Additional Office Locations: 3
- Total Employees: 40
- Total Reps: 9
- Assets Under Management (AUM): $5.8B
- Discretionary AUM: $5.8B
- Non-Discretionary AUM: $0
- Client Base: Individual & Family; Institutional
- Fee Structure: Percentage of AUM; Fixed Fees; Private Funds Advised
- Specialties: Portfolio Management for Individuals/Small Businesses; Portfolio Management for Investment Companies; Portfolio Management for Pooled Investment Vehicles; Portfolio Management for Businesses or Institutions; Selection of other Advisors; Educational Seminars/Workshops


5. Calvert Research and Management (CRM)

Formed in August 2016, Calvert Research and Management (CRM) is a Washington DC-based Registered Investment Advisor (RIA) offering advisory services to individuals, registered investment companies, institutional investors, pooled investment vehicles, and wrap programs. CRM offers actively and passively managed, model-only investment advisory services that include a variety of investment equity, fixed & floating-rate income, and multi-asset strategies. Besides its headquarters, Calvert Research and Management also operates out of Seattle, WA, Boston, MA, and New York, NY.

CRM’s investment process for its active equity strategies emphasizes a bottom-up investment approach focused on fundamental, quantitative, macroeconomic, and ESG analysis, considering an issuer’s financial condition and industry position, as well as the market, political and regulatory environments. Calvert Research and Management employs a due diligence process to review the capabilities of any proposed sub-adviser. The firm seeks to invest in issuers that manage ESG risk exposures adequately, focusing on the ESG factors relevant to the issuer’s operations.

As of June, Calvert Research and Management manages approximately $40.4B discretionarily and $54.2M in non-discretionary assets. Since last year, the group's assets under management have increased by roughly 46%. Besides its domestic client base, Calvert also manages roughly $102.0M in foreign assets. CRM employs a team of 296 employees, two of which perform advisory functions.

In addition to its traditional services rendered, the group also serves as an advisor to private funds. Calvert Research and Management has several industry affiliations, including those with Morgan Stanley, Morgan Stanley & Co. LLC, and Morgan Stanley Investment Management Limited, among others. 

- Headquarters: Washington, DC
- Additional Office Locations: 5
- Total Employees: 296
- Total Reps: 2
- Assets Under Management (AUM): $40.4B
- Discretionary AUM: $40.3B
- Non-Discretionary AUM: $54.2M
- Client Base: Individual & Family; Institutional
- Fee Structure: Percentage of AUM; Private Funds Advised
- Specialties: Portfolio Management for Individuals/Small Businesses; Portfolio Management for Investment Companies; Portfolio Management for Pooled Investment Vehicles; Portfolio Management for Businesses or Institutions; Selection of other Advisors


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Additionally, FINTRX provides expansive contact information on key decision-makers, featuring job titles, direct email addresses, phone numbers, common connections, alma maters, past employment history, brief bios & much more.

 

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