Lyon Capital Management, LLC

CRD#111311
Investment Advisor Firm

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Learn more about Lyon Capital Management, LLC

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations

    • Overview

    Lyon Capital Management, LLC operates as a financial advisory firm located in Pittsford, New York. It handles $76.1 million in total assets across 138 client accounts. The firm has a small group, including 2 financial advisors. Lyon Capital Management, LLC does not act as a registered broker-dealer, signifying that the company cannot buy and sell securities for its accounts and those of its customers and instead must go through a broker-dealer company to do so. Securities are tradable financial assets like options, equities and bonds.

    Lyon Capital Management, LLC oversees the majority of the company's accounts on a discretionary basis. Discretionary management signifies that a portfolio manager has the discretion to make transaction choices without requiring client consent. It also administers three non-discretionary accounts with a total of $1.1 million in assets under management. The advisory firm's average account size is $551,795. An average financial advisor at Lyon Capital Management, LLC manages about 69 client accounts, making it about average in terms of personalization.

    The company's main office is at 24B Grove Street, Pittsford, New York 14534. Lyon Capital Management, LLC is registered to serve customers throughout 4 states, including Florida, Georgia, New York and Massachusetts.

    Assets Under Management

    $76.1 million

    Number of Advisors

    2

    Disclosures

    No

    Office Location

    24B Grove Street
    Pittsford, NY 14534

    Lyon Capital Management, LLC by the Numbers

    Total Assets Under Management

    $76.1 million

    National Average: $8.6 billion
    Total Number of Employees

    2

    National Average: 64
    Total Number of Accounts

    138

    National Average: 375,227
    Average Account Size

    $551.8 thousand

    National Average: $23.0 thousand
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    Products and Services

    Financial services that Lyon Capital Management, LLC provides can include financial planning services and portfolio management for individuals and small businesses. In the last financial year, the company provided 1-10 of its accounts with financial planning services. Lyon Capital Management, LLC is not engaged in selling products or offering services apart from investment advisory services to its investment advisory clients.

    Core Advisor Services

    • Offered by 31% of firms

      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

    • Offered by 46% of firms

      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

    • Find a firm that offers this service

      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

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    Fee Structure

    Fees for financial management depend on which services are offered. However, fees billed by Lyon Capital Management, LLC typically consist of the following fee type: asset-based. The firm does not supply a wrap fee program, in which the firm offers a service bundle for a single fee.

    Available

    • Offered by 69% 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.

    Unavailable

    • Find one of the 21% 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 1% 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 26% of firms that offer this fee type

      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.

    • Find one of the 0% 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 32% 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 10% 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

    Lyon Capital Management, LLC works with retail investors, high net worth investors and pension plans. Out of its 138 accounts, Lyon Capital Management, LLC's biggest client by number of accounts is retail investors, though it also caters to 39 high-net-worth individuals. The SEC defines a high-net-worth individual as a person who has at least $750,000 in AUM or a net worth of more than $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's accounts are represented by non-U.S. persons.

    • High-Net-Worth Individuals* - 42.86%
    • Other Individuals - 51.65%
    • Corporations - 5.49%
    • 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

    Lyon Capital Management, LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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