AJF CAPITAL MANAGEMENT, INC.
Adviser information for AJF CAPITAL MANAGEMENT, 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 | SEPTEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 606 | $140.7M |
| Non-Discretionary | 0 | $0 |
| Total | 606 | $140.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 206 | $36.9M |
| HNW Individuals | 100 | $94.9M |
| 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 | 46 | $8.3M |
| Charitable organizations | <5 | $700,850 |
| 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 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMFixed feesCommissions |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 140.7M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| AJF TRADITIONAL ASSET MANAGEMENT PROGRAM | AJF CAPITAL MANAGEMENT, INC. |
| AJF SUSTAINABLE ASSET MANAGEMENT PROGRAM | AJF CAPITAL MANAGEMENT, INC. |
| AJF STRATEGIC INVESTMENT PROGRAM | AJF CAPITAL MANAGEMENT, INC. |
Identifiers
| SEC RIA File Number | 801-94167 |
|---|---|
| SEC ERA File Number | 801-94167 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 126414 |
| Legal Entity Identifier | None |
Principal Office
211 EAST 43RD ST.SUITE 2004
NEW YORK
NY
United States
Monday - Friday, 9:00 A.M.-5:00 P.M.
Tel: 212-779-0789, Fax: 212-779-0851
Chief Compliance Officer
STEVEN BRENNAN
CHIEF OPERATING OFFICER
172 SNOWBELL CT
ST. AUGUSTINE
FL
United States
Tel:
212-779-0789
Fax:
212-779-0851
S****@*************M
(Full email address available in API data)
Regulatory Contact
ANDREW FRIEDMAN
PRESIDENT
211 EAST 43RD ST.
SUITE 2004
NEW YORK
NY
United States
Tel:
212-779-0789
Fax:
212-779-0851
A*****@*************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 |
|---|---|---|---|---|---|
| FRIEDMAN, ANDREW, JON | Individual | – | PRESIDENT | 06/1991 | 25-50% |
| ROSS-FRIEDMAN, LORETTA, NO MIDDLE NAME | Individual | – | OWNER | 01/2015 | 25-50% |
| BRENNAN, STEVEN, JAMES | Individual | – | CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER | 03/2022 | 10-25% |
| Romano, John, Ralph | Individual | – | CHIEF INVESTMENT OFFICER | 03/2022 | 10-25% |