QUINT CAPITAL MANAGEMENT
QUINT CAPITAL CORPORATION Legal Name
Adviser information for QUINT CAPITAL MANAGEMENT last updated from Form ADV on October 16th, 2023. 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 | JUNE |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 20 |
|---|---|
| Investment Advisory/Research | 15 |
| Registered Broker-Dealer Representatives | 15 |
| Registered State Investment Advisers | 15 |
| Licensed Agents of an Insurance Company | 9 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 100 | $70.0M |
| Non-Discretionary | 0 | $0 |
| Total | 100 | $70.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 60 | $40.0M |
| HNW Individuals | 40 | $30.0M |
| 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 | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| 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 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Broker-dealerRegistered representative of a broker-dealerInsurance broker or agentADVISORY SERVICES |
Identifiers
| SEC RIA File Number | 801-128990 |
|---|---|
| SEC ERA File Number | 801-128990 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 26586 |
| Legal Entity Identifier | None |
Principal Office
230 PARK AVE STE 908NEW YORK
NY
United States
Monday - Friday, 9 AM -5 PM
Tel: 212-682-5090, Fax: 646-478-7485
Chief Compliance Officer
KATHY KURIA
230 PARK AVE STE 908
NEW YORK
NY
United States
Tel:
2126825090
Fax:
646-478-7485
K*****@***************M
(Full email address available in API data)
Industry Affiliates
| CHAMPION ECONOMICS, LLC | Insurance company or agency |
| CHAMPION WEALTH ADVISORS, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| QCAP HOLDINGS LLC (NAME CHANGE FROM QUINT CAPITAL LLC | Domestic Entity | – | OWNER | 04/2014 | > 75% |
| QUINT, ALEXANDER NORMAN | Individual | QCAP HOLDINGS LLC (FORMERLY QUINT CAPITAL LLC) | OWNER | 08/2013 | > 75% |
| QUINT, ALEXANDER NORMAN | Individual | – | CEO | 06/2015 | < 5% |
| HOFFMAN, PETER ROSS | Individual | – | FINOP- PFO | 08/2022 | < 5% |
| RAMIREZ, RUBEN RENE JR | Individual | – | FIRM PRINCIPAL/SALES SUPERVISORS/AML CO | 03/2023 | < 5% |
| KURIA, KATHY JONES | Individual | – | CCO | 06/2023 | < 5% |
| SNYDER, RICKY LYNN | Individual | – | MUNICPAL PRINCIPAL | 08/2023 | < 5% |