Numina Capital Management, LLC (New York)

Name: Numina Capital Management, LLC
Address: 2 West 45 Th Street, New York, NY, 10036
Telephone: 212 768 4250

Numina Capital Management, LLC is a large advisory firm based in New York. It manages $1.04 billion of regulatory assets for 12 client accounts. It has been registered with the SEC as an adviser since 2014.

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

Numina Capital Management: assets under management

The assets under management (AUM) of Numina Capital Management, LLC is $1.04 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 1857% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.04 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $86.76 million each.

Numina Capital Management has custody of $349.35 million in cash and securities for 8 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 56% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 44% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Numina Capital Management, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Numina Capital Management serves?

The only and largest group of clients of Numina Capital Management is pooled investment vehicles with 11 clients and $878.38 million of assets under management. Among the 8 most similar advisory firms, Numina Capital Management has the 4th lowest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $878.38 million for 11 clients. 83% of the firm’s clients are foreign persons or businesses.

Numina Capital Management also advises several private funds. Namely, two hedge funds. The minimum investment commitment required of non-related persons ranges from $2,500,000 to $5,000,000.

Careers at Numina Capital Management, LLC

The company employs 7 people that are either part- or full-time employees. 71 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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Michael Edward Kaine	Managing member	1 Jan 2013	75% - 100%	2752048
Matthew Ray Hunter	Non-managing member	1 Jan 2013	Other	6293637
Llc Streamline Partners	Passive, non-managing member	1 Jan 2013	Other	46-1921419
Mark Worringham Buckley Jones	Chief compliance officer	1 Jan 2014	Other	5133549

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
James Albert Greenberg	Member	1 Jan 2013	75% - 100%	1748791

Based in New York

The principal office where Numina Capital Management, LLC performs its advisory services is located at 2 West 45 Th Street, New York, NY 10036, 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 212 768 4250. The normal business hours are 9am-5pm on Monday - Friday. You can find more information about the New York firm at numinacap.com/.