VICTORIA CAPITAL MANAGEMENT, INC.
Adviser information for VICTORIA CAPITAL MANAGEMENT, INC. last updated from Form ADV on February 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | South Carolina, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 10 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 110 | $55.8M |
| Non-Discretionary | 25 | $209.2M |
| Total | 135 | $264.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 22 | $6.1M |
| HNW Individuals | 22 | $36.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 4 | $10.6M |
| Charitable organizations | 1 | $2.8M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 10 | $208.9M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-112588 |
|---|---|
| SEC ERA File Number | 801-112588 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107665 |
| Legal Entity Identifier | None |
Principal Office
109 EAST BAY STREET#1E
CHARLESTON
SC
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 843-342-3044, Fax: None
Websites
Chief Compliance Officer
THOMAS E. NUGENT
EXECUTIVE VICE PRESIDENT
109 EAST BAY STREET
#1E
CHARLESTON
SC
United States
Tel:
843-342-3044
T**@*********M
(Full email address available in API data)
Regulatory Contact
DIANE V. NUGENT
PRESIDENT/CEO
109 EAST BAY STREET
#1E
CHARLESTON
SC
United States
Tel:
843-342-3044
D****@*********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NUGENT, DIANE, VICTORIA | Individual | – | PRESIDENT/CEO | 10/2000 | 50-75% |
| NUGENT, THOMAS, EUGENE | Individual | – | CCO | 10/2000 | 25-50% |