Pomona Capital

CRD#148269
Investment Advisor Firm

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Learn more about Pomona Capital

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

    • Overview

    Pomona Capital operates as an advisory firm located in New York, New York. It handles $12.2 billion in total assets over 21 client accounts, placing it among the biggest financial advisory firms in the nation by assets under management (AUM). It has a small group, including 17 financial advisors. Pomona Capital is not a registered broker-dealer, meaning the advisor cannot buy and sell securities for its accounts and those of its clients and instead has to go through a broker-dealer company to do so. Securities are defined as exchangable fiscal investments such as options, bonds and equities.

    Pomona Capital administers 20 of its accounts on a discretionary basis. Discretionary management is a structure in which buy and sell decisions for the client's account are made by a portfolio manager without requiring client approval. Pomona Capital also administers one non-discretionary accounts with a total of $242,254 in AUM. Pomona Capital's average account size is $581.1 million. The average financial advisor at Pomona Capital administers about one client account, placing it among the most personalized financial advisor firms in the country.

    The firm's main office is located at 780 Third Avenue, New York, New York 10017. The firm is legally registered to serve investors in the state of New York.

    Assets Under Management

    $12.2 billion

    Number of Advisors

    17

    Disclosures

    No

    Office Location

    780 Third Avenue
    New York, NY 10017

    Pomona Capital by the Numbers

    Total Assets Under Management

    $12.2 billion

    National Average: $8.6 billion
    Total Number of Employees

    29

    National Average: 64
    Total Number of Accounts

    21

    National Average: 375,227
    Average Account Size

    $581.1 million

    National Average: $23.0 thousand
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    Fee Structure

    Fees for financial management typically depend on which services are offered. Fees billed by Pomona Capital likely consist of any combination of the following fee structures: asset-based, performance-based or other. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the company.

    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.

    • Offered by 26% 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.

    • Offered by 10% of firms

      Other

      Show Explanation

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

    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 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.

    Back to Overview

    Types of Clients

    Pomona Capital provides services to investment companies, pooled investment vehicles and insurance companies. Out of its 21 customers, Pomona Capital's biggest client group is pooled investment vehicles. Around 35% of the company's 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

    Pomona Capital does not have any disclosures.

    Please visit its Form ADV for more details.

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