R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC.
Adviser information for R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC. last updated from Form ADV on March 31st, 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 | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 20 |
|---|---|
| Investment Advisory/Research | 10 |
| 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 | 4 | $64.2M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $64.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 7 | $64.2M |
| 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 | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 6 |
| No. of Non-U.S. Clients | 75 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsADVISING PRIVATE FUNDS AND MANAGED ACCOUNTS (SOME OF WHICH ARE NOT SECURITIES PORTFOLIOS) |
|---|---|
| Compensation | % of AUMPerformance-based feesCERTAIN PRIV FUNDS PAY A LIQUIDITY FEE AS % OF AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
15811 COLLINS AVENUE#2904
SUNNY ISLES BEACH
FL
United States
Monday - Friday, 8 AM - 6 PM
Tel: 212-245-0400, Fax: 212-245-4030
Websites
Chief Compliance Officer
RONALD B. GRABER
GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER
15811 COLLINS AVENUE
#2904
SUNNY ISLES BEACH
FL
United States
Tel:
212-245-0400
Fax:
212-245-4030
R**@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| KLS NIEDERHOFFER SMART ALPHA UCITS FUND | Hedge Fund | $56.5M | $0.1M | 10 |
| ROY G. NIEDERHOFFER SMART ALPHA FUND 2X (ONSHORE ) LP | Hedge Fund | $3.5M | $1.0M | 6 |
| ROY G. NIEDERHOFFER SMART ALPHA FUND 2X, LTD | Hedge Fund | $4.1M | $1.0M | 2 |
| ROY G. NIEDERHOFFER SMART ALPHA MASTER FUND LTD. | Hedge Fund | $7.6M | $1.0M | 8 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NIEDERHOFFER, ROY | Individual | – | PRESIDENT | 05/1993 | > 75% |
| SHEN, PAUL | Individual | – | HEAD TRADER | 07/1993 | < 5% |
| GRABER, RONALD, BRUCE | Individual | – | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 08/2007 | < 5% |
| LEVITAN, ZINOVI | Individual | – | DIRECTOR OF OPERATIONS | 03/2011 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 31st, 2020 for period ending June 30th, 2020
| Name | Class | Value $USD | # Shares | Private Fund |
|---|