SPENCE ASSET MANAGEMENT

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Spence Asset Management is based out of Las Cruces. Spence Asset Management is a large advisory firm with 732 clients and discretionary assets under management (AUM) of $486,232,327 (Form ADV from 2021-01-26). Their last reported 13F filing for Q3 2021 included $376,092,000 in managed 13F securities and a top 10 holdings concentration of 66.51%. Spence Asset Management's largest holding is VISA Inc with shares held of 167,462. Spence Asset Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 16 13F filings

Download 13F Summary Create Alert

09/30/2021

13F Activity

  • Market Value $376.092 Million
  • Prior Market Value $416.036 Million
  • New Purchases2 stocks
  • Additional Purchases20 stocks
  • Sold out of5 stocks
  • Reduced holdings in6 stocks
  • Top 10 Holdings % 66.51 %
  • Turnover % [1]:18.92%
  • Turnover Alt % [2]: 8.62 %
  • Time Held Top20:9.60 quarters
  • Time Held Top10:6.40 quarters
  • Time Held All:10.54 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.

09/30/2021

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2021-11-15

Performance for Q3 2021: 9.31%
Performance Last 4 Quarters: 34.98%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

SPENCE ASSET MANAGEMENT
3529 FOOTHILLS ROAD
LAS CRUCES NM    88011
Country: United States

Business Phone: 575-556-8500
Fax: 575-556-8510
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: NM
Number of employees: 8
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 732
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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Insider Transactions in the past year

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SPENCE ASSET MANAGEMENT

ownership team - last updated 2021-01-26
Name Title Start Date Direct/Indirect % Ownership
SPENCE, JAMES, WILLIAM DIRECTOR 01/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT DIRECTOR direct 2010-01-01
LORD SPENCE & ASSOCIATES PRESIDENT direct 2000-11-01 2009-02-21
SPENCE ASSET MANAGEMENT CHIEF COMPLIANCE OFFICER direct 1993-02-01 2011-03-25
SPENCE ASSET MANAGEMENT CHIEF COMPLIANCE OFFICER direct 2010-09-01 2013-02-07
WALTON, ERIC, MARSHALL PRESIDENT 01/01/2010 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT VICE PRESIDENT direct 2005-12-01
SPENCE ASSET MANAGEMENT PRESIDENT direct 2010-01-01
WALTON, SHEILA, CHRISTINE VICE-PRESIDENT/TREASURER 01/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT TREASURER direct 2005-12-01
SPENCE ASSET MANAGEMENT VICE-PRESIDENT/TREASURER direct 2010-01-01
SPENCE ASSET MANAGEMENT CHIEF COMPLIANCE OFFICER direct 2010-09-01
SPENCE, KRISTI, K SECRETARY 02/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT SHAREHOLDER direct 1993-02-01
WALTON, SHEILA, CHRISTINE CHIEF COMPLIANCE OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT TREASURER direct 2005-12-01
SPENCE ASSET MANAGEMENT VICE-PRESIDENT/TREASURER direct 2010-01-01
SPENCE ASSET MANAGEMENT CHIEF COMPLIANCE OFFICER direct 2010-09-01
GROOMS, PATRICK, M SHAREHOLDER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT SHAREHOLDER direct 2018-01-01
KOZNEY, SCOTT, FREDERICK SHAREHOLDER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORDILLERA ASSET MANAGEMENT DIRECTOR direct 2006-09-01
SPENCE, JAMES, WILLIAM DIRECTOR 01/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT DIRECTOR direct 2010-01-01
LORD SPENCE & ASSOCIATES PRESIDENT direct 2000-11-01 2009-02-21
SPENCE ASSET MANAGEMENT CHIEF COMPLIANCE OFFICER direct 1993-02-01 2011-03-25
SPENCE ASSET MANAGEMENT CHIEF COMPLIANCE OFFICER direct 2010-09-01 2013-02-07
WALTON, ERIC, MARSHALL PRESIDENT 01/01/2010 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT VICE PRESIDENT direct 2005-12-01
SPENCE ASSET MANAGEMENT PRESIDENT direct 2010-01-01
WALTON, SHEILA, CHRISTINE VICE-PRESIDENT/TREASURER 01/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT TREASURER direct 2005-12-01
SPENCE ASSET MANAGEMENT VICE-PRESIDENT/TREASURER direct 2010-01-01
SPENCE ASSET MANAGEMENT CHIEF COMPLIANCE OFFICER direct 2010-09-01
SPENCE, KRISTI, K SECRETARY 02/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT SHAREHOLDER direct 1993-02-01
WALTON, SHEILA, CHRISTINE CHIEF COMPLIANCE OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT TREASURER direct 2005-12-01
SPENCE ASSET MANAGEMENT VICE-PRESIDENT/TREASURER direct 2010-01-01
SPENCE ASSET MANAGEMENT CHIEF COMPLIANCE OFFICER direct 2010-09-01
GROOMS, PATRICK, M SHAREHOLDER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT SHAREHOLDER direct 2018-01-01
KOZNEY, SCOTT, FREDERICK SHAREHOLDER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORDILLERA ASSET MANAGEMENT DIRECTOR direct 2006-09-01

SPENCE ASSET MANAGEMENT

ownership team - last updated 2020-05-01
Name Title Start Date Direct/Indirect % Ownership
SPENCE, JAMES, WILLIAM DIRECTOR 01/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT DIRECTOR direct 2010-01-01
LORD SPENCE & ASSOCIATES PRESIDENT direct 2000-11-01 2009-02-21
SPENCE ASSET MANAGEMENT CHIEF COMPLIANCE OFFICER direct 1993-02-01 2011-03-25
SPENCE ASSET MANAGEMENT CHIEF COMPLIANCE OFFICER direct 2010-09-01 2013-02-07
WALTON, ERIC, MARSHALL PRESIDENT 01/01/2010 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT VICE PRESIDENT direct 2005-12-01
SPENCE ASSET MANAGEMENT PRESIDENT direct 2010-01-01
WALTON, SHEILA, CHRISTINE VICE-PRESIDENT/TREASURER 01/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT TREASURER direct 2005-12-01
SPENCE ASSET MANAGEMENT VICE-PRESIDENT/TREASURER direct 2010-01-01
SPENCE ASSET MANAGEMENT CHIEF COMPLIANCE OFFICER direct 2010-09-01
SPENCE, KRISTI, K SECRETARY 02/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT SHAREHOLDER direct 1993-02-01
WALTON, SHEILA, CHRISTINE CHIEF COMPLIANCE OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT TREASURER direct 2005-12-01
SPENCE ASSET MANAGEMENT VICE-PRESIDENT/TREASURER direct 2010-01-01
SPENCE ASSET MANAGEMENT CHIEF COMPLIANCE OFFICER direct 2010-09-01
GROOMS, PATRICK, M SHAREHOLDER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT SHAREHOLDER direct 2018-01-01
KOZNEY, SCOTT, FREDERICK SHAREHOLDER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORDILLERA ASSET MANAGEMENT DIRECTOR direct 2006-09-01

SPENCE ASSET MANAGEMENT

ownership team - last updated 2020-03-11
Name Title Start Date Direct/Indirect % Ownership

SPENCE ASSET MANAGEMENT

ownership team - last updated 2019-02-06
Name Title Start Date Direct/Indirect % Ownership
SPENCE, JAMES, WILLIAM DIRECTOR 01/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT DIRECTOR direct 2010-01-01
LORD SPENCE & ASSOCIATES PRESIDENT direct 2000-11-01 2009-02-21
SPENCE ASSET MANAGEMENT CHIEF COMPLIANCE OFFICER direct 1993-02-01 2011-03-25
SPENCE ASSET MANAGEMENT CHIEF COMPLIANCE OFFICER direct 2010-09-01 2013-02-07
WALTON, ERIC, MARSHALL PRESIDENT 01/01/2010 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT VICE PRESIDENT direct 2005-12-01
SPENCE ASSET MANAGEMENT PRESIDENT direct 2010-01-01
WALTON, SHEILA, CHRISTINE VICE-PRESIDENT/TREASURER 01/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT TREASURER direct 2005-12-01
SPENCE ASSET MANAGEMENT VICE-PRESIDENT/TREASURER direct 2010-01-01
SPENCE ASSET MANAGEMENT CHIEF COMPLIANCE OFFICER direct 2010-09-01
SPENCE, KRISTI, K SECRETARY 02/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT SHAREHOLDER direct 1993-02-01
WALTON, SHEILA, CHRISTINE CHIEF COMPLIANCE OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT TREASURER direct 2005-12-01
SPENCE ASSET MANAGEMENT VICE-PRESIDENT/TREASURER direct 2010-01-01
SPENCE ASSET MANAGEMENT CHIEF COMPLIANCE OFFICER direct 2010-09-01
GROOMS, PATRICK, M SHAREHOLDER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT SHAREHOLDER direct 2018-01-01
KOZNEY, SCOTT, FREDERICK SHAREHOLDER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CORDILLERA ASSET MANAGEMENT DIRECTOR direct 2006-09-01

SPENCE ASSET MANAGEMENT

ownership team - last updated 2017-01-12
Name Title Start Date Direct/Indirect % Ownership
SPENCE, JAMES, WILLIAM DIRECTOR 01/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT DIRECTOR direct 2010-01-01
LORD SPENCE & ASSOCIATES PRESIDENT direct 2000-11-01 2009-02-21
SPENCE ASSET MANAGEMENT CHIEF COMPLIANCE OFFICER direct 1993-02-01 2011-03-25
SPENCE ASSET MANAGEMENT CHIEF COMPLIANCE OFFICER direct 2010-09-01 2013-02-07
WALTON, ERIC, MARSHALL PRESIDENT 01/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT VICE PRESIDENT direct 2005-12-01
SPENCE ASSET MANAGEMENT PRESIDENT direct 2010-01-01
WALTON, SHEILA, CHRISTINE VICE-PRESIDENT/TREASURER 01/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT TREASURER direct 2005-12-01
SPENCE ASSET MANAGEMENT VICE-PRESIDENT/TREASURER direct 2010-01-01
SPENCE ASSET MANAGEMENT CHIEF COMPLIANCE OFFICER direct 2010-09-01
SPENCE, KRISTI, K SHAREHOLDER 02/01/1993 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT SHAREHOLDER direct 1993-02-01
WALTON, SHEILA, CHRISTINE CHIEF COMPLIANCE OFFICER 09/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
SPENCE ASSET MANAGEMENT TREASURER direct 2005-12-01
SPENCE ASSET MANAGEMENT VICE-PRESIDENT/TREASURER direct 2010-01-01
SPENCE ASSET MANAGEMENT CHIEF COMPLIANCE OFFICER direct 2010-09-01

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