TOWER VIEW INVESTMENT MANAGEMENT & RESEARCH LLC

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Tower View Investment Management & Research is based out of Milwaukee. Tower View Investment Management & Research is a large advisory firm with 136 clients and discretionary assets under management (AUM) of $138,293,000 (Form ADV from 2018-08-01). Their last reported 13F filing for Q3 2019 included $121,163,000 in managed 13F securities and a top 10 holdings concentration of 33.1%. Tower View Investment Management & Research's largest holding is SPDR S&P MidCap 400 ETF with shares held of 16,550. Whalewisdom has at least 8 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $121.163 Million
  • Prior Market Value $117.207 Million
  • New Purchases7 stocks
  • Additional Purchases67 stocks
  • Sold out of1 stock
  • Reduced holdings in21 stocks
  • Top 10 Holdings % 33.10 %
  • Turnover % [1]:5.52%
  • Turnover Alt % [2]: 3.63 %
  • Time Held Top20:4.70 quarters
  • Time Held Top10:4.50 quarters
  • Time Held All:5.50 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: -0.56%
Performance Last 4 Quarters: 3.08%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

TOWER VIEW INVESTMENT MANAGEMENT & RESEARCH LLC
1660 N. PROSPECT AVE #902
MILWAUKEE WI    53202
Country: United States

Business Phone: 414-791-6834
Fax: 414-433-1935
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: WI
Number of employees: 4
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 43,000,000
Total Number of Clients: 136
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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TOWER VIEW INVESTMENT MANAGEMENT & RESEARCH LLC

ownership team - last updated 2019-03-21
Name Title Start Date Direct/Indirect % Ownership
GHEI, RAMAN, JOHN MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER 07/01/1999 Direct 75% or more
Fund Name Position direct/indirect start date end date
TOWER VIEW INVESTMENT MANAGEMENT & RESEARCH LLC PRESIDENT, MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 1999-07-01
TOWER VIEW INVESTMENT MANAGEMENT & RESEARCH LLC MANAGING DIRECTOR direct 1999-07-01 2005-12-08
TOWER VIEW INVESTMENT MANAGEMENT & RESEARCH LLC CHIEF COMPLIANCE OFFICER direct 1999-07-01 2008-02-25

TOWER VIEW INVESTMENT MANAGEMENT & RESEARCH LLC

ownership team - last updated 2017-09-27
Name Title Start Date Direct/Indirect % Ownership
GHEI, RAMAN, JOHN PRESIDENT, MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER 07/01/1999 Direct 75% or more
Fund Name Position direct/indirect start date end date
TOWER VIEW INVESTMENT MANAGEMENT & RESEARCH LLC PRESIDENT, MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER direct 1999-07-01
TOWER VIEW INVESTMENT MANAGEMENT & RESEARCH LLC MANAGING DIRECTOR direct 1999-07-01 2005-12-08
TOWER VIEW INVESTMENT MANAGEMENT & RESEARCH LLC CHIEF COMPLIANCE OFFICER direct 1999-07-01 2008-02-25

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