R.G. Niederhoffer Capital Management, Inc. (New York)

Name: R.G. Niederhoffer Capital Management, Inc.
Address: 1700 Broadway, New York, NY, 10019
Telephone: 212-245-0400

R.G. Niederhoffer Capital Management, Inc. is a large advisory firm based in New York. It manages $422.62 million of regulatory assets for 9 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdiction of New York.

R.G. Niederhoffer Capital Management provides portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and advising private funds and managed accounts. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

R.G. Niederhoffer Capital Management: assets under management

The assets under management (AUM) of R.G. Niederhoffer Capital Management, Inc. is $422.62 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -34% since the beginning of its operation, and $411.97 million of the total AUM is attributable to clients outside of the United States.

The firm manages $422.62 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $46.96 million each.

R.G. Niederhoffer Capital Management has custody of $66.78 million in cash and securities for 9 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in derivatives the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay R.G. Niederhoffer Capital Management, Inc. for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Roy Niederhoffer serves?

The firm provides services to pooled investment vehicles, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Roy Niederhoffer is corporations or other businesses with 2 clients and $311.34 million of assets under management. Among the 8 most similar advisory firms, R.G. Niederhoffer Capital Management has the highest percentage of corporations or other businesses out of all clients.

The amount of regulatory assets under management is $422.62 million for 9 clients. 75% of the firm’s clients are foreign persons or businesses.

R.G. Niederhoffer Capital Management also advises several private funds. Namely, six hedge funds. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at R.G. Niederhoffer Capital Management, Inc.

The company employs 25 people that are either part- or full-time employees. 48 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Roy Niederhoffer has been acting as President since 1 May 1993. Coenraad Johannes Weddepohl joined the executive team most recently as the Chief Strategy Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Roy Niederhoffer	President	1 May 1993	75% - 100%	2338107
Paul Shen	Head trader	1 Jul 1993	Other	2120122
Sladjana Carton	Managing director	1 Aug 2000	Other	2404837
Christopher Frederick Crawford	Director of operations	1 Jul 2001	Other	3079394
Jessica Lynne Nicosia	Chief compliance officer	1 Oct 2005	Other	4567460
Ronald Bruce Graber	General counsel and chief compliance officer	1 Aug 2007	Other	5415569
Stephanie Kakalios	Director of operations	1 Oct 2007	Other	4478875
Susan P Roberts	Senior managing director	1 Mar 2010	Other	5776550
Zinovi Levitan	Director of operations	1 Mar 2011	Other	5908014
Jonathan Firester	Head of equities trading	1 Sep 2011	Other	4252875
Coenraad Johannes Weddepohl	Senior managing director	1 Sep 2014	Other	6472766
Coenraad Johannes Weddepohl	Chief strategy officer	1 Apr 2015	Other	6472766

Based in New York

The principal office where R.G. Niederhoffer Capital Management, Inc. performs its advisory services is located at 1700 Broadway, New York, NY 10019, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-245-0400 or by fax 212-245-4030. The normal business hours are 8 am - 6 pm on Monday - Friday. You can find more information about the New York firm at niederhoffer.com.