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Neumeier Poma Investment Counsel, LLC

PRI reporting framework 2020

You are in Organisational Overview » Basic information

Basic information

OO 01. Signatory category and services

01.1. Select the services and funds you offer

Select the services and funds you offer
% of asset under management (AUM) in ranges
Fund management
Fund of funds, manager of managers, sub-advised products
Other
Total 100%

Further options (may be selected in addition to the above)

01.2. Additional information. [Optional]

Neumeier Poma Investment Counsel, LLC, a 100% employee owned registered investment advisor, investing exclusively in small-cap ($250 million - $3 billion market capitalization) value stocks with a portfolio of 30-40 holdings.  As of December 31, 2019 Neumeier Poma Investment Counsel had $1,483.69 million in assets under management.  Our highly successful track record stretches back to our inception 33 years ago, and we remain focused on executing our small-cap value strategy to the maximum benefit of our institutional and individual clients.

Research analysts include, as part of their multi-level testing for identifying good businesses, the "incorporation" and "screening" of ESG factors. Our stock selection process excludes certain industries including but not limited to manufacture of guns, predatory lending, animal testing, companies whose products or services cause serious environmental degradation, companies whose products and services have a heavy fossil fuel/co2 "footprint".

Neumeier Poma Investment Counsel LLC Institutional Equity composite contains fully discretionary institutional equity accounts and for comparison purposes is measured against the Russell 2000 Value (small-cap) Index.  The composite is a value plan investing primarily in small-cap equities, which are publicly traded domestic and foreign stocks. Detailed composite definitions are available upon request.


OO 02. Headquarters and operational countries

02.1. Select the location of your organisation’s headquarters.

United States

02.2. Indicate the number of countries in which you have offices (including your headquarters).

02.3. Indicate the approximate number of staff in your organisation in full-time equivalents (FTE).

8 FTE

02.4. Additional information. [Optional]

Neumeier Poma Investment Counsel, LLC is located in Carmel, CA.  Research is conducted by 5 analysts, including the trader and three portfolio managers (two are co-owners).  Our back office is comprised of our compliance officer and two executive administrators.  Visit our website at www.npsmallvalue.com


OO 03. Subsidiaries that are separate PRI signatories

03.1. Indicate whether you have subsidiaries within your organisation that are also PRI signatories in their own right.

03.3. Additional information. [Optional]


OO 04. Reporting year and AUM

04.1. Indicate the year end date for your reporting year.

31/12/2019

04.2. Indicate your total AUM at the end of your reporting year.

Include the AUM of subsidiaries, but exclude advisory/execution only assets, and exclude the assets of your PRI signatory subsidiaries that you have chosen not to report on in OO 03.2
Total AUM
trillions billions millions thousands hundreds
Currency
Assets in USD
trillions billions millions thousands hundreds

04.4. Indicate the assets which are subject to an execution and/or advisory approach. Provide this figure based on the end of your reporting year

04.5. Additional information. [Optional]


OO 06. How would you like to disclose your asset class mix

06.1. Select how you would like to disclose your asset class mix.

Internally managed (%)
Externally managed (%)

 

Listed equity >50% 88 0 0
Fixed income 0 0 0 0
Private equity 0 0 0 0
Property 0 0 0 0
Infrastructure 0 0 0 0
Commodities 0 0 0 0
Hedge funds 0 0 0 0
Fund of hedge funds 0 0 0 0
Forestry 0 0 0 0
Farmland 0 0 0 0
Inclusive finance 0 0 0 0
Cash 10-50% 12 0 0
Money market instruments 0 0 0 0
Other (1), specify 0 0 0 0
Other (2), specify 0 0 0 0

06.2. Publish asset class mix as per attached image [Optional].

06.3. Indicate whether your organisation has any off-balance sheet assets [Optional].

06.5. Indicate whether your organisation uses fiduciary managers.

06.6. Provide contextual information on your AUM asset class split. [Optional]


OO 07. Fixed income AUM breakdown (Not Applicable)


OO 08. Segregated mandates or pooled funds (Not Applicable)


OO 09. Breakdown of AUM by market

09.1. Indicate the breakdown of your organisation’s AUM by market.

100 Developed Markets
0 Emerging Markets
0 Frontier Markets
0 Other Markets
Total 100% 100%

09.2. Additional information. [Optional]

We invest solely in small-cap value equity only stocks that trade on the United States stock exchanges.


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