FIEN CAPITAL MANAGEMENT, LLC
Adviser information for FIEN CAPITAL MANAGEMENT, LLC last updated from Form ADV on March 15th, 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 | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| 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 | 114 | $118.3M |
| Non-Discretionary | 0 | $0 |
| Total | 114 | $118.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 55 | $16.3M |
| HNW Individuals | 57 | $95.9M |
| 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 | <5 | $5.6M |
| 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 | $531,486 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| 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 AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-60490 |
|---|---|
| SEC ERA File Number | 801-60490 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 114951 |
| Legal Entity Identifier | None |
Principal Office
110 ALLENS CREEK ROADROCHESTER
NY
United States
Monday - Friday, 9AM-5PM
Tel: 585-271-8910, Fax: 585-271-6995
Chief Compliance Officer
MARK FIEN
PRESIDENT
110 ALLENS CREEK ROAD
ROCHESTER
NY
United States
Tel:
585-271-8910
Fax:
585-271-6995
M****@**************M
(Full email address available in API data)
Regulatory Contact
DAMIAN WEIDMANN
VICE PRESIDENT
110 ALLENS CREEK ROAD
ROCHESTER
NY
United States
Tel:
585-271-8910
Fax:
585-271-6995
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 |
|---|---|---|---|---|---|
| FIEN, MARK, ANTHONY | Individual | – | PRESIDENT & CHIEF COMPLIANCE OFFICER | 07/2001 | > 75% |
| WEIDMANN, DAMIAN | Individual | – | VICE PRESIDENT | 03/2009 | < 5% |