Nine Thirty Capital Management, LLC (New York)

Name: Nine Thirty Capital Management, LLC
Address: 250 West 55 Th Street, New York, NY, 10019
Telephone: (212) 918-8930

Nine Thirty Capital Management, LLC is a large advisory firm based in New York. It manages $450 million of regulatory assets for 7 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdiction of New York.

Nine Thirty Capital Management provides portfolio management for pooled investment vehicles and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Nine Thirty Capital Management: assets under management

The assets under management (AUM) of Nine Thirty Capital Management, LLC is $450 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 17% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $450 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $64.29 million each.

Investments

The firm invests in non-exchange traded securities the most. They account for 60% of the total AUM. The second-largest asset type is pooled investment vehicles, which make up 35% of the firm’s portfolio. Investments in cash and cash equivalents form 5% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Nine Thirty Capital Management, LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Stuart John Rabin serves?

The only and largest group of clients of Stuart John Rabin is pooled investment vehicles with 4 clients and $348.07 million of assets under management. Among the 9 most similar advisory firms, Nine Thirty Capital Management has the 5th highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $348.07 million for 4 clients. None of the firm’s clients are foreign persons or businesses.

Nine Thirty Capital Management also advises several private funds. Namely, four private equity funds. The minimum investment commitment required of non-related persons is $500,000 for each fund.

Careers at Nine Thirty Capital Management, LLC

The company employs 6 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Stuart John Rabin has been acting as President since 1 Feb 2004. Woon Ling (Wendy) Ng joined the executive team most recently as the Chief Financial Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Llc ("930h") Nine Thirty Management Holdings	Member-manager	1 Feb 2004	75% - 100%	20-0875942
Stuart John Rabin	President/ceo/chief compliance officer	1 Feb 2004	Other	4772142
1994 By Mitchell Jacobson ("1994 Trust") Trust U/A/D January 31	Member	1 Feb 2004	Other	13-7026810
Harlan Bruce Korenvaes	Trustee of 1994 trust	1 Feb 2004	Other	1104110
Joseph Robert Small	Cfo & cco	1 Feb 2004	Other	2038975
Llc ("Edg") Edg Capital	Member	1 Mar 2004	Other	20-0876153
Llc ("Slg") Slg Capital	Member	1 Mar 2004	Other	20-0876194
Llc ("930p") Nine Thirty Partners Holdings	Member-manager	1 Mar 2004	50% - 75%	20-0876081
Hold'em Capital Trust	Member	1 Mar 2004	Other	13-7394523
The Joshua Jacobson 2005 Trust Number One	Member	1 Jan 2006	Other	13-7477145
Harlan Bruce Korenvaes	Trustee of jacobson 2005 trust	1 Jan 2006	Other	1104110
Karim Amirali Rehmat	Vice president of finance/chief compliance officer	1 Jan 2009	Other	4940456
Barry Lowell Brick	Chief financial officer/chief compliance officer	1 Aug 2011	Other	1652000
Woon Ling (Wendy) Ng	Chief financial officer	1 Feb 2016	Other	5130940

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Stuart John Rabin	Member-manager	1 Feb 1998	75% - 100%	4772142
L.L.C. ("Sjrh") Sjr Holdings	Member-manager	1 Feb 2004	50% - 75%	13-3990603
Erik David Gershwind	Member-manager	1 Mar 2004	75% - 100%	4775799
Stacey Lynn Bennett	Member-manager	1 Mar 2004	75% - 100%	4775800
L.L.C. ("Sjrh") Sjr Holdings	Member-manager	1 Mar 2004	50% - 75%	13-3990603
Joshua Jacobson 2005 Trust Number One	Member	1 Jan 2006	Other	13-7477145

Based in New York

The principal office where Nine Thirty Capital Management, LLC performs its advisory services is located at 250 West 55 Th Street, New York, NY 10019, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (212) 918-8930 or by fax (212) 918-8931. The normal business hours are 8:30 am - 6:00 pm on Monday - Friday. You can find more information about the New York firm at 930capital.com/.