WYNNEFIELD CAPITAL, INC.
Adviser information for WYNNEFIELD CAPITAL, INC. last updated from Form ADV on March 26th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| 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 | $275.8M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $275.8M |
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 | 3 | $266.1M |
| Pension and profit sharing plans | 1 | $9.7M |
| 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 | 25 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-73498 |
|---|---|
| SEC ERA File Number | 801-73498 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 157604 |
| Legal Entity Identifier | None |
Principal Office
450 SEVENTH AVESUITE 509
NEW YORK
NY
United States
Monday - Friday, 9AM - 5PM
Tel: 212-760-0814, Fax: 212-760-0824
Chief Compliance Officer
W. ALEX LIU
CHIEF OPERATING OFFICER
450 SEVENTH AVENUE SUITE 509
NEW YORK
NY
United States
Tel:
212-760-0613
Fax:
212-760-0824
A***@***********M
(Full email address available in API data)
Regulatory Contact
JOSHUA LANDES
EXECUTIVE VICE PRESIDENT
450 SEVENTH AVENUE SUITE 509
NEW YORK
NY
United States
Tel:
212-760-0814
Fax:
212-760-0824
J******@***********M
(Full email address available in API data)
Industry Affiliates
| WYNNEFIELD CAPITAL MANAGEMENT, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. | Hedge Fund | $85.0M | $0.3M | 56 |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I | Hedge Fund | $136.1M | $0.3M | 78 |
| WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD. | Hedge Fund | $45.0M | $0.3M | 18 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| OBUS, NELSON, JAY | Individual | – | PRESIDENT | 11/1992 | 50-75% |
| LANDES, JOSHUA, HAIM | Individual | – | EXECUTIVE VICE PRESIDENT / SECRETARY / TREASURER | 11/1992 | 50-75% |
| LIU, W. ALEX | Individual | – | CHIEF COMPLIANCE OFFICER / CHIEF OPERATING OFFICER | 01/2018 | < 5% |