Nanking Road Capital Management LLC (Hartford)

Nanking Road Capital Management LLC is an adviser based in Hartford. It manages $86 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2007.

Nanking Road Capital Management provides portfolio management for investment companies and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Nanking Road Capital Management: assets under management

The assets under management (AUM) of Nanking Road Capital Management LLC is $86 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -39% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $86 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $86 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Nanking Road Capital Management LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Nanking Road Capital Management LLC

Jon Raymond Kathe joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Steven Robert Champion	Chief executive officer	1 Aug 2007	75% - 100%	4532870
Cheryl Chang	Chief financial officer / chief compliance officer	1 Aug 2007	Other	2664878
Mountaincat Capital Llc	Member	1 Aug 2007	Other	26-0495329
Judith Ann Thompson	Vp & director of research	1 Aug 2007	Other	5397975
Regina Foley	Vp finance / chief compliance officer	1 May 2009	Other	5719554
Jon Raymond Kathe	Chief compliance officer	1 Apr 2011	Other	2813397

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Judith Ann Thompson	President	1 Jul 2007	75% - 100%	5397975

Based in Hartford

The principal office where Nanking Road Capital Management LLC performs its advisory services is located at 111 Gillett Street, Hartford, CT 06105, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 860-278-7888 or by fax 860-278-7889. The normal business hours are 9am to 5pm on Monday - Friday.