NMS CAPITAL SERVICES, LLC
Adviser information for NMS CAPITAL SERVICES, LLC last updated from Form ADV on March 8th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 25 |
|---|---|
| Investment Advisory/Research | 20 |
| 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 | $1.7B |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $1.7B |
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 | 4 | $1.7B |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based feesREFER TO DISCUSSION OF OTHER FEES IN ITEM 5 OF FORM ADV PART 2A |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-73560 |
|---|---|
| SEC ERA File Number | 801-73560 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 158140 |
| Legal Entity Identifier | None |
Principal Office
32 OLD SLIP, SUITE 32DNEW YORK
NY
United States
Monday - Friday, 8:30 A.M. TO 5:30 P.M.
Tel: 212-422-7099, Fax: None
Chief Compliance Officer
JAMES WILSON
CHIEF FINANCIAL OFFICER
5949 SHERRY LN
SUITE 1080
DALLAS
TX
United States
Tel:
214-871-8362
J******@**************M
(Full email address available in API data)
Regulatory Contact
TRAVIS RAE
CONTROLLER
5949 SHERRY LN
SUITE 1080
DALLAS
TX
United States
Tel:
214-871-8319
T***@**************M
(Full email address available in API data)
Industry Affiliates
| NEW MAINSTREAM CAPITAL GP HOLDING, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NMS GP, LP | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NMS II GP, LP | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NMS III GP, LP | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NMS IV GP, LP | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| NMS FUND II, LP | Private Equity Fund | $129.3M | $5.0M | 18 |
| NMS FUND III, LP | Private Equity Fund | $733.5M | $10.0M | 35 |
| NMS FUND IV, LP | Private Equity Fund | $805.7M | $10.0M | 39 |
| NMS FUND, LP | Private Equity Fund | $26.9M | $2.0M | 3 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NEW MAINSTREAM CAPITAL MANAGEMENT HOLDING, LLC | Domestic Entity | – | MANAGING MEMBER | 06/2009 | > 75% |
| CHAVEZ, MARTIN, EFRAIN | Individual | – | MANAGING PARTNER | 12/2010 | < 5% |
| JORDAN, KEVIN, MICHAEL | Individual | – | MANAGING PARTNER | 12/2010 | < 5% |
| WILSON, JAMES, GLENN | Individual | – | PARTNER / CHIEF FINANCIAL OFFICER / CHIEF COMPLIANCE OFFICER | 12/2010 | < 5% |
| CHAVEZ, MARTIN, EFRAIN | Individual | NEW MAINSTREAM CAPITAL MANAGEMENT HOLDING, LLC | MEMBER | 02/2010 | 50-75% |
| JORDAN, KEVIN, MICHAEL | Individual | NEW MAINSTREAM CAPITAL MANAGEMENT HOLDING, LLC | MEMBER | 02/2010 | 50-75% |