September 17, 2014 7:58 PM ET

Capital Markets

Company Overview of Advisory Research, Inc.

Company Overview

Advisory Research, Inc. is a privately owned investment manager. The firm primarily provides its services to high-net-worth individuals, banking or thrift institutions, investment companies, pension and profit-sharing plans, university endowments, private and public foundations, corporations, state or municipal government entities, limited partnerships, and WRAP programs. It manages separate client-focused equity portfolios. The firm launches and manages equity mutual funds and hedge funds for its clients. It invests in the public equity and fixed income markets across the globe. The firm primarily invests in value stocks of micro-cap, small-cap, mid-cap, and large-cap companies. It makes in...

Two Prudential Plaza

Suite 5500

180 North Stetson Avenue

Chicago, IL 60601

United States

Founded in 1974

Phone:

312-565-1414

Fax:

312-565-2002

Key Executives for Advisory Research, Inc.

Chief Executive Officer
Age: 57
President and Portfolio Manager
Age: 81
President
Age: 47
Managing Director
Compensation as of Fiscal Year 2014.

Advisory Research, Inc. Key Developments

Advisory Research, Inc. Announces Management Changes

Piper Jaffray Companies and Brien O'Brien, the company’s head of asset management, have agreed that Mr. O'Brien's employment agreement with the company entered into on January 9, 2012 will be terminated without cause. The company provided Mr. O'Brien formal written notice of termination pursuant to the employment agreement on October 31, 2013. Mr. O'Brien will remain with the company until March 31, 2014, while he transitions his duties and responsibilities. Chris Crawshaw, President of Advisory Research, Inc. will assume the role of CEO of Advisory Research, Inc. on January 1, 2014.

Advisory Research Inc. Launches Advisory Research Strategic Income Fund

Advisory Research Inc. announced that it has launched a new mutual fund, the Advisory Research Strategic Income Fund. The Fund primarily seeks to generate high current income while maintaining broad diversification, and also provides investors with an opportunity to potentially obtain long-term capital appreciation. The Fund attempts to achieve its objectives by investing in income-producing securities that its Portfolio Managers determine to be undervalued. These securities include preferred stocks, convertible preferred stocks, common stocks, closed-end funds, master limited partnerships and corporate bonds. The Fund will allocate up to 80% of its assets to preferred securities and up to 20% each in the other security asset classes. The Fund's Portfolio Managers will look to invest predominantly in securities with investment grade credit ratings or quality and that trade at a spread of 2.5% or more over U.S. Treasuries. The Fund's strategy was first conceived by Advisory Research for use in two limited partnership accounts, which were launched in 2003. The limited partnership accounts' performance history and approximately $115 million in assets have been transferred to the Fund. The Federal Reserve's recent policy statement indicates that interest rates will remain low for an indefinite period of time, making the Fund an attractive option for investors. The Federal Open Market Committee revealed in its December 12, 2012 minutes that it will target a federal funds rate between 0% and 0.25% as long as the unemployment rate stays above 6.5% and inflation for the next one to two years does not exceed 2.5%. As a result, investors in the Fund can potentially accrue substantial yields with decreased risk of a rise in interest rates.

Advisory Research Holdings, Inc. Opens Representative Office in Tokyo; Appoints Fumie Kikuchi to Serve as its Representative of Tokyo Office

Advisory Research Holdings, Inc. announced that it has opened its first office in Tokyo to strengthen its investment research platform and establish an on-the-ground presence in the Japanese market. Fumie Kikuchi, who worked in Advisory Research's headquarters in Chicago for the last year, will serve as the company's representative in the firm's Tokyo office. Ms. Kikuchi worked at JP Morgan Asset Management for five years before coming to Advisory Research. In her new role, Ms. Kikuchi will focus on conducting local market research to support the portfolio management and research team in Chicago, and on supporting Japanese clients.

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