Nine Thirty Capital Management, LLC
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Overview
Nine Thirty Capital Management, LLC is a financial advisor company based in New York, New York. The company administers $622.8 million in assets under management throughout five customer accounts, placing it among the bigger investment advisory firms in the United States by assets under management (AUM). It has a small team, including 2 financial advisors. Nine Thirty Capital Management, LLC is not a registered broker-dealer, signifying that the company is not able to buy and sell securities for its customers' and own accounts and instead must go through a broker-dealer firm to do so. Securities are defined as exchangable fiscal assets like stocks, options and bonds.
Nine Thirty Capital Management, LLC manages all of the company's accounts in a discretionary manner. Discretionary management signifies that transaction decisions are made by a portfolio manager without requiring the client's authorization. The advisory firm oversees about $124.6 million for every account. The typical financial advisor at Nine Thirty Capital Management, LLC oversees about three client accounts, making it one of the most personalized financial advisor firms in the country.
Nine Thirty Capital Management, LLC's central office is located at 250 West 55Th Street, New York, New York 10019. The company is permitted to provide services to investors in the state of New York.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Nine Thirty Capital Management, LLC by the Numbers
$622.8 million
6
5
$124.6 million
Products and Services
Services that Nine Thirty Capital Management, LLC offers can include portfolio management for pooled investment vehicles and selection of other advisers. Nine Thirty Capital Management, LLC is not involved in selling products or offering services apart from investment advice to its investment advisory clients.
Core Advisor Services
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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.
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Portfolio Management
This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.
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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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Offered by 20% of firms
Selection of Other Advisors
This is the firm's assistance with choosing other advisors to work with who may have different specialties.
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Publication of Periodicals
This is the publication of various financial education materials.
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Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Fee Structure
Fees for financial management largely vary depending on which services the firm provides the client. However, fees charged by Nine Thirty Capital Management, LLC can include the following fee types: asset-based or performance-based. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by Nine Thirty Capital Management, LLC.
Available
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Offered by 69% of firms
Percentage of Assets
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Offered by 26% of firms
Performance-based
Unavailable
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Find one of the 21% of firms that offer this fee type
Hourly
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Find one of the 1% of firms that offer this fee type
Commissions
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Find one of the 0% of firms that offer this fee type
Subscription
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Find one of the 32% of firms that offer this fee type
Fixed
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Find one of the 10% of firms that offer this fee type
Other
Types of Clients
Nine Thirty Capital Management, LLC works with pooled investment vehicles. Out of its five clients, Nine Thirty Capital Management, LLC's largest client by number of accounts is pooled investment vehicles. None of the firm's customers are 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
Nine Thirty Capital Management, LLC does not have any disclosures.
Please visit its Form ADV for more details.
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