Macquarie Capital Funds Inc. (New York)

Macquarie Capital Funds Inc. is a large advisory firm based in New York. It manages $2.38 billion of regulatory assets for 9 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdiction of California.

Macquarie Capital Funds provides 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.

Macquarie Capital Funds: assets under management

The assets under management (AUM) of Macquarie Capital Funds Inc. is $2.38 billion. The company doesn't manage any assets belonging to foreign clients.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Macquarie Capital Funds Inc. for their services and products based on 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.

Careers at Macquarie Capital Funds Inc.

Stephen Mentzines has been acting as President since 1 Oct 2007. William Edward Dermody joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Christopher John Leslie	Director	1 May 2007	Other	4142819
Benjamin William John Perham	Director	1 May 2007	Other	5008646
Michael Cook	Director	1 May 2007	Other	5507355
Christine Rivera	Secretary	1 May 2007	Other	5506677
Kathleen Hahn	Treasurer	1 Sep 2007	Other	5506678
Stephen Mentzines	Director/president	1 Oct 2007	Other	5506674
Macquarie Holdings (U.S.A.) Inc.	Direct 100% owner	1 Nov 2007	75% - 100%	13-3789912
Clare Lewis	Chief compliance officer	1 Mar 2008	Other	5506676
Clare Alison Lewis	Chief compliance officer	1 Mar 2008	Other	5506676
Heidi Lee Mortensen	Vice president	1 Sep 2008	Other	4902271
Robert Lawsky	Vice president	1 Sep 2008	Other	5507469
Mark Denis Mullen	Vice president	1 Jul 2009	Other	5737829
Paul Richard Sorensen	Vice-president	1 Jul 2009	Other	4664039
Michael Edward Kernan	Vice-president	1 Jul 2009	Other	5737497
Anna Louise Boniface	Secretary	1 Jan 2010	Other	5755940
Anna Louise Boniface	Assistant secretary	1 Feb 2010	Other	5755940
Amanda Wilson Reed	Secretary	1 Feb 2010	Other	5764840
William Edward Dermody	Chief compliance officer	1 Oct 2010	Other	5782077

Indirect Owners

The SEC currently registers 7 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Macquarie Equities (Us) Holdings Pty Limited	Direct 100% owner	1 Mar 1994	75% - 100%	063 906 392
Macquarie Capital Group Pty. Limited	Direct 100% owner	1 May 2001	75% - 100%	096 705 109
Macquarie Capital Group Limited	Direct 100% owner	1 May 2001	75% - 100%	096 705 109
Macquarie Group Limited	Direct 100% owner	1 Oct 2006	75% - 100%	122 169 279
Macquarie Capital International Holdings Pty Ltd.	Direct 100% owner	1 Dec 2006	75% - 100%	123 199 253
Macquarie Group (Us) Holdings No.1 Pty Ltd	Direct 100% owner	1 Feb 2007	75% - 100%	124 071 389
Macquarie Financial Holdings Limited	Direct 100% owner	1 Feb 2007	75% - 100%	124 071 398

Based in New York

The principal office where Macquarie Capital Funds Inc. performs its advisory services is located at 125 W. 55 Th Street, New York, NY 10019, which is also the mailing address of the firm. An additional office of the firm is in Houston, TX. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-231-1000 or by fax 212-231-1828. The normal business hours are 9:00 am - 6:00 pm on Monday - Friday.