Merchant Capital Inc (New York)


Merchant Capital Inc is a large advisory firm based in New York. It manages $804.17 million of regulatory assets for 52 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of New York.

Merchant Capital provides market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Merchant Capital: assets under management

The assets under management (AUM) of Merchant Capital Inc is $804.17 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 108% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $804.17 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $15.46 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Merchant Capital Inc 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 Merchant Capital Inc

David Ames Denunzio has been acting as President since 1 Jan 1994. Eileen E Ryan joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Inc. Merchant Holding 100% owner 1 Jan 1994 75% - 100% 13-3751234
David Ames Denunzio Director 1 Jan 1994 Other 1905388
John Michael Hennessy Chairman 1 Jan 1994 Other 814814
Allen Dennis Wheat Director, investment committee member 1 Jun 1995 Other 1498734
Stephen A.M. Hester Investment committee member 1 Sep 1997 Other 4378974
Charles Gould Ward Director, investment committee member 1 Sep 1997 Other 872995
Mark Richard Patterson Director, investment committee member 1 Dec 1997 Other 1155279
Henry Grossman Robin Investment committee member 1 Jun 1998 Other 1883585
Richard Edward Thornburgh Director 1 Mar 2000 Other 828020
Frank Peter Quattrone Director, investment committee member 1 Mar 2000 Other 1312126
Charles Gerald Thoroton Stonehill Investment committee member 1 Mar 2000 Other 1772667
Mark Lawrence Levitt Investment committee member 1 Mar 2000 Other 2451205
Nicole I Sincek Arnaboldi Vice president 1 Mar 2003 Other 1427291
George Ronald Hornig Chief financial & administrative officer 1 Mar 2003 Other 1817508
Ivy B Dodes Vice president & counsel 1 Mar 2003 Other 2306196
Kenneth John Lohsen Vice president 1 Mar 2003 Other 4571019
Joseph Fowler Huber President & ceo 1 Mar 2003 Other 251929
David C. O'leary Vice president 1 Mar 2003 Other 4380128
Eileen E Ryan Chief compliance officer 1 Dec 2003 Other 2014783

Indirect Owners

The SEC currently registers 8 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc. Credit Suisse First Boston Merchant Bank 100% shareholder 1 Jan 1994 75% - 100% 13-3569241
Credit Suisse First Boston Management Corporation 100% shareholder 1 Jan 1994 75% - 100% 13-2972600
Inc. Credit Suisse First Boston 100% shareholder 1 Jan 1994 75% - 100% 13-2853402
Credit Suisse First Boston (Swiss Bank) 57% voting; 100% non-voting shareholder 1 Jan 1994 50% - 75% foreign entity
Credit Suisse First Boston Management Llc 100% shareholder 1 Jan 1994 75% - 100% 13-2972600
Credit Suisse Group 100% shareholder 1 Feb 1998 75% - 100% foreign entity
Credit Suisse First Boston (Usa) Inc 100% shareholder 1 Mar 2003 75% - 100% 13-1898818
Inc. Credit Suisse First Boston (Usa) Shareholder 1 Mar 2003 75% - 100% 13-1898818

Based in New York

The principal office where Merchant Capital Inc performs its advisory services is located at 11 Madison Avenue, 7 Th Floor, New York, NY 10010, 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 212-325-2000 or by fax 212-325-6100. The normal business hours are 9am - 5pm on Monday - Friday.