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Claudine Spence

O'shaughnessy Asset Management, LLC
24 Years of Experience
Stamford, CT
View SEC Summary
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Claudine Spence is a registered investment advisor at O'shaughnessy Asset Management, LLC, based in Stamford, CT, with 24 years of industry experience. Claudine operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth, Investment Management. Their firm serves 11,156 clients with $20B in assets under management.

O'shaughnessy Asset Management, LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
58 advisors
Number of Clients
11,156 clients
Average Client Portfolio
$1.8M average
Assets Under Management
$19.8B

Fee Structure

Minimum Investment:$250K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $25.0M0.85%
$25.0M - $100.0M0.75%
$100M+0.60%

Fees vary significantly depending on the specific strategy selected (ranging from 0.35% to 1.15%). The schedule shown reflects the Small Cap Growth strategy. Other strategies have different tiers and flat rates.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

100 First Stamford Place, Stamford, CT, 06902

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
O'shaughnessy Asset Management, LLC
August 2008 - Present · 18 yrs 2 mos
Previous Registrations
Quasar Distributors, LLCBroker
April 2011 - May 2017 · 6 yrs 1 mo
Bear, Stearns & CO. INC.Broker
May 2007 - August 2007 · 3 mos
Citigroup Global Markets INC.Broker
October 2004 - January 2006 · 1 yr 3 mos
Alliancebernstein Investment Research and Management, INC.Broker
September 2002 - April 2003 · 7 mos
Diversified Investors Securities CORP.Broker
August 1998 - May 2002 · 3 yrs 9 mos
State Registrations1 state
CT
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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