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Glickenhaus & Co.

Glickenhaus & Co. Inc. is a member of NASD, the National Association of Securities Dealers. NASD is a self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
Glickenhaus & Co. is a 45 year-old Securities & Exchange Commission registered investment advisor with $1.3 billion under management as of December 31, 2005. They are a member of the National Association of Securities Dealers, Municipal Securities Rulemaking Board and the Securities Investor Protection Corporation. However, they do not engage in traditional brokerage business. They specialize in management of equity, balanced and fixed-income portfolios.

Their investment management team consists of several senior professionals involved in both equity and fixed-income management.  They have a support staff of investment professionals engaged in securities analysis, trading and administration. Their professional staff averages in excess of twenty years of investment experience. Only senior level professionals manage client assets. As of September 30, 2005 the firm's capital was in excess of $245 million.

Given the instability and revolution of the capital markets in recent years however, they believe diversification is essential. A typical commitment within their portfolios is 2percent to 5percent of an account's assets. Their internal research effort, which involves partners, portfolio managers and analysts, begins with a bottom up approach. The group dynamics involved in the evaluation of potential investments and current holdings results in substantial commonality across accounts while still permitting portfolios to reflect a portfolio manager's investment preferences. Each portfolio manager has primary responsibility for and knowledge of a group of clients and thus has a better understanding of their risk/reward sensitivity.

Glickenhaus & Co. asserts that, to the best of its knowledge, all the information contained in this document is accurate, and that Glickenhaus has created a business continuity plan that meets industry standards and regulatory requirements. In the event of an actual significant business disruption, Glickenhaus will make every reasonable effort to enact this plan as written. However, this plan is highly dependent upon critical infrastructure and resources that Glickenhaus & Co. maintains no control over, including, but not limited to electricity, telecommunications, water, external exchanges, market utilities, and clearing houses.

Their investment decision-making process focuses on fundamental research, which begins with intensive accounting validation.

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