STEVEN CHARLES CAPITAL LTD
Adviser information for STEVEN CHARLES CAPITAL LTD last updated from Form ADV on March 5th, 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 | New York, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 114 | $130.0M |
| Non-Discretionary | 0 | $0 |
| Total | 114 | $130.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 8 | $22.0M |
| HNW Individuals | 91 | $108.0M |
| 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 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| UBS | UBS |
| MORGAN STANLEY | MORGAN STANLEY |
| NONE | NONE |
Identifiers
| SEC RIA File Number | 801-26716 |
|---|---|
| SEC ERA File Number | 801-26716 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 104814 |
| Legal Entity Identifier | None |
Principal Office
200 CANAL VIEW BLVDSUITE 203
ROCHESTER
NY
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 585-325-1870, Fax: 585-325-1879
Websites
Chief Compliance Officer
DAN BRAVERMAN
CHIEF COMPLIANCE OFFICER
200 CANAL VIEW BLVD
SUITE 203
ROCHESTER
NY
United States
Tel:
585-325-1870
Fax:
585-325-1879
J*********@***********************M
(Full email address available in API data)
Regulatory Contact
JEFFREY E. BRAVERMAN
EXECUTIVE VICE PRESIDENT
200 CANAL VIEW BLVD.
ROCHESTER
NY
United States
Tel:
585-325-1870
Fax:
585-325-1879
I***@***********************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 |
|---|---|---|---|---|---|
| BRAVERMAN, STEVEN, CHARLES | Individual | – | PRESIDENT/CEO | 02/1986 | > 75% |
| BRAVERMAN, DANIEL, L | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2013 | < 5% |