New China Capital Management, Lp

CRD#161398
Investment Advisor Firm

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Overview

New China Capital Management, Lp operates as a financial advisor company based in Stamford, Connecticut. The company controls $521.6 million in assets throughout three client accounts, making it one of the larger financial advisory firms in the country by assets under management (AUM). It has a small group of four employees, including three financial advisors. New China Capital Management, Lp does not act as a registered broker-dealer, meaning the company cannot buy and sell securities for its accounts and those of its clients and instead is required to go through a broker-dealer company to do so. Securities are exchangable financial assets like options, equities and bonds.

New China Capital Management, Lp manages all of its client assets in a discretionary manner. Discretionary management means that buy and sell choices are made by an investment advisor without needing client consent. The advisory firm supervises an average of $173.9 million in assets for each account. The typical financial advisor at New China Capital Management, Lp administers about one client account, placing it among the most personalized firms in the country.

New China Capital Management, Lp's headquarters is at One Dock Street, Stamford, Connecticut 06902-5836. New China Capital Management, Lp is legally registered to provide services to customers in the state of Connecticut.

Assets Under Management

$521.6 million

Number of Advisors

3

Disclosures

No

Office Location

One Dock Street
Stamford, CT 06902-5836

New China Capital Management, Lp by the Numbers

Total Assets Under Management

$521.6 million

National Average: $3.7 billion
Total Number of Employees

4

National Average: 29
Total Number of Accounts

3

National Average: 2,073
Average Account Size

$173.9 million

National Average: $1.8 million

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Fee Structure

Fees for financial management usually vary depending on which services the firm provides the client. However, fee types billed by New China Capital Management, Lp likely are comprised of any blend of the following fee structures: asset-based or performance-based. New China Capital Management, Lp does not supply a wrap fee program, in which the firm offers a service bundle for a comprehensive fee.

Available

  • Offered by 74% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 17% of firms

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

Unavailable

  • Find one of the 35% of firms that offer this fee type

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Find one of the 2% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 40% of firms that offer this fee type

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

The company works with pooled investment vehicles. Out of its three customers, New China Capital Management, Lp's largest client by number of accounts is pooled investment vehicles. Around 100% of its accounts are represented by people from outside of the U.S.

  • High-Net-Worth Individuals* - 0%
  • Other Individuals - 0%
  • Corporations - 100%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

New China Capital Management, Lp does not have any disclosures.

Please visit its Form ADV for more details.

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This content was compiled from the SEC and FINRA