CAPITAL FORMATION ADVISERS LLC
Adviser information for CAPITAL FORMATION ADVISERS LLC last updated from Form ADV on March 21st, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3 | $31.9M |
| Non-Discretionary | 7 | $33.3M |
| Total | 10 | $65.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 7 | $54.4M |
| 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 | <5 | $746,889 |
| 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 | <5 | $266,048 |
| Other | <5 | $9.8M |
| 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 | Hourly chargesFixed fees |
| Other Business Activities | Lawyer or law firm |
Identifiers
| SEC RIA File Number | 801-55098 |
|---|---|
| SEC ERA File Number | 801-55098 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 111815 |
| Legal Entity Identifier | None |
Principal Office
15 SECOND STREET EASTPELHAM
NY
United States
Monday - Friday, 9AM TO 6PM
Tel: 212-922-1127, Fax: None
Chief Compliance Officer
RICHARD C. VEITH
MANAGER
155 NYAC AVENUE
PELHAM
NY
United States
Tel:
212-922-1127
R******@**********M
(Full email address available in API data)
Industry Affiliates
| RICHARD C. VEITH, ESQ. | Lawyer or law firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| VEITH, RICHARD, C | Individual | – | MANAGER/CHIEF COMPLIANCE OFFICER/OWNER | 05/1997 | > 75% |