NLG CAPITAL, INC.
Adviser information for NLG CAPITAL, INC. last updated from Form ADV on March 27th, 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 | Vermont, United States |
Employees
| Total Number of Employees | 43 |
|---|---|
| Investment Advisory/Research | 41 |
| Registered Broker-Dealer Representatives | 1 |
| 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 | 8 | $35.9B |
| Non-Discretionary | 0 | $0 |
| Total | 8 | $35.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | $323.9M |
| Charitable organizations | <5 | $24.1M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 5 | $35.6B |
| 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 businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | AT COST TO AN AFFILIATE |
Principal Office
ONE NATIONAL LIFE DRIVEMONTPELIER
VT
United States
Monday - Friday, 8-5
Tel: 802-229-3773, Fax: None
Chief Compliance Officer
GREGORY D. TEESE
CHIEF COMPLIANCE OFFICER
1 NATIONAL LIFE DRIVE
MONTPELIER
VT
United States
Tel:
802-229-7437
Fax:
(802) 229-3743
G*****@***************M
(Full email address available in API data)
Regulatory Contact
PETER TROJANO
DEPUTY CHIEF COMPLIANCE OFFICER
ONE NATIONAL LIFE DRIVE
MONTPELIER
VT
United States
Tel:
802-229-3773
P*******@*********M
(Full email address available in API data)
Industry Affiliates
| CATAMOUNT REINSURANCE COMPANY | Insurance company or agency |
| ESI FINANCIAL ADVISORS | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| LIFE INSURANCE COMPANY OF THE SOUTHWEST | Insurance company or agency |
| LONGHORN REINSURANCE COMPANY | Insurance company or agency |
| NATIONAL LIFE DISTRIBUTION, LLC | Insurance company or agency |
| NATIONAL LIFE INSURANCE COMPANY | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MULLER, LISA, FRANCESCA | Individual | – | DIRECTOR, VICE PRESIDENT, SENIOR COUNSEL, SECRETARY & CHIEF LEGAL OFFICER | 10/2018 | < 5% |
| NATIONAL LIFE HOLDING COMPANY ("NLHC") | Domestic Entity | NLV FINANCIAL CORPORATION ("NLVF") | SOLE STOCKHOLDER - NLVF | 01/1999 | > 75% |
| NLV FINANCIAL CORPORATION ("NLVF") | Domestic Entity | – | SOLE STOCKHOLDER | 11/2005 | > 75% |
| ASSADI, MEHRAN | Individual | – | CHAIR, DIRECTOR | 01/2009 | < 5% |
| COTTON, ROBERT, EARL | Individual | – | DIRECTOR, PRESIDENT & CEO | 01/2018 | < 5% |
| DOIRON, JASON, JOSEPH | Individual | – | EXECUTIVE VICE PRESIDENT | 09/2021 | < 5% |
| MATEJA, GREG, M. | Individual | – | VICE PRESIDENT & TREASURER | 04/2021 | < 5% |
| TEESE, GREGORY, DWIGHT | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2022 | < 5% |
| TROJANO, PETER, DOMINIC | Individual | – | VICE PRESIDENT | 04/2023 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed November 14th, 2019 for period ending September 30th, 2019
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| WideOpenWest Inc | COM | 831 | 145K | – |
| Hi-Crush Inc | COM | 37 | 29K | – |