Ais Capital Management L.P. (Wilton)


Ais Capital Management L.P. is a large advisory firm based in Wilton. It manages $98.15 million of regulatory assets for 61 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdiction of Connecticut.

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

Ais Capital Management: assets under management

The assets under management (AUM) of Ais Capital Management L.P. is $98.15 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -73% since the beginning of its operation, and $97.24 thousand of the total AUM is attributable to clients outside of the United States.

The firm manages $98.15 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.61 million each.
Ais Capital Management has custody of $49.18 million in cash and securities for 5 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in pooled investment vehicles the most. They account for 50% of the total AUM. The second-largest asset type is other assets, which make up 35% of the firm’s portfolio. Investments in cash and cash equivalents form 10% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ais Capital Management L.P. 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 Ais Capital Management serves?

The firm provides services to individuals, high net worth individuals, and pooled investment vehicles. The largest group of clients of Ais Capital Management is pooled investment vehicles with 5 clients and $49.18 million of assets under management. Among the 4 most similar advisory firms, Ais Capital Management has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $98.15 million for 61 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Ais Capital Management also advises several private funds. Namely, one hedge fund and one other private fund. The minimum investment commitment required of non-related persons ranges from $250,000 to $1,000,000.

Careers at Ais Capital Management L.P.

The company employs 3 people that are either part- or full-time employees. 33 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 6 people 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
John Robert Hummel Partner/chief compliance officer 1 Apr 1993 75% - 100% 823557
Bradley Charles Stern Partner 1 Apr 1993 Other 1948760
Llc Ais General Partner General partner 1 Sep 2013 Other 80-0953136
Pemco Partners Limited Partnership Limited partner 1 Sep 2013 Other 06-1739996
Victoria Clare Bixby Limited partner 1 Sep 2013 Other 5699053
Richard Heller Limited partner 1 Sep 2013 Other 6256207

Indirect Owners

The SEC currently registers 6 indirect owners.

Name Entity Date acquired Ownership Employer ID
Maureen Petracca Partner 1 Feb 2005 75% - 100% 6256836
Paul Petracca General partner 1 Feb 2005 Other 6256838
John Robert Hummel Principal 1 Sep 2013 75% - 100% 823557
Bradley Charles Stern Principal 1 Sep 2013 50% - 75% 1948760
Stephen Wayne Edwards Principal 1 Sep 2013 25% - 50% 5637536
Hui John Zhang Principal 1 Sep 2013 25% - 50% 2497620

Based in Wilton

The principal office where Ais Capital Management L.P. performs its advisory services is located at 187 Danbury Rd, Wilton, CT 06897 0806, 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 203-563-1180 or by fax 203-563-1186. The normal business hours are 8:00am-5:00pm on Monday - Friday. You can find more information about the New York firm at aisgroup.com/.