Capital Dynamics, Inc. (New York)

Capital Dynamics, Inc. is a large advisory firm based in New York. It manages $6.32 billion of regulatory assets for 37 client accounts. It has been registered with the SEC as an adviser since 2008.

Capital Dynamics provides portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, pension consulting services, 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.

Capital Dynamics: assets under management

The assets under management (AUM) of Capital Dynamics, Inc. is $6.32 billion. The firm's AUM has gone down by -82% since the beginning of its operation, and $167.84 million of the total AUM is attributable to clients outside of the United States.

The firm manages $1.9 billion in discretionary accounts and $4.42 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $57.52 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.11 billion.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Capital Dynamics, Inc. for their services and products based on a percentage of assets under management, fixed fees, 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 Capital Dynamics serves?

The only and largest group of clients of Capital Dynamics is pooled investment vehicles with 37 clients and $6.32 billion of assets under management. Among the 7 most similar advisory firms, Capital Dynamics has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $6.32 billion for 37 clients. 5% of the firm’s clients are foreign persons or businesses.

Capital Dynamics also advises several private funds. Namely, two real estate funds, twenty one private equity funds, and thirteen venture capital funds. The minimum investment commitment required of non-related persons ranges from $50,000 to $300,000,000.

Careers at Capital Dynamics, Inc.

The company employs 49 people that are either part- or full-time employees. 59 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 3 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Jens Jacob Ernberg joined the executive team most recently as the Executive Committee Member.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Capital Dynamics Holding Ag	Parent company	1 Jun 2001	75% - 100%	foreign
Thomas J Kubr	Ceo & director	1 Jul 2001	Other	xxx-xx-xxxx
Stefan Ammann	Secretary & treasurer-director	1 Sep 2003	Other	4762624
William David Woolford	Principal, director	1 Nov 2003	Other	4752257
William D Woolford	Principal,director	1 Nov 2003	Other	4752257
Helge Petermann	Principal	1 Feb 2004	Other	2525207
Carl Henry Goodman	Finop	1 Feb 2004	Other	825267
Angela Willetts	Managing director, executive committee member	1 Apr 2005	Other	6540523
Angela Jayne Willetts	Executive committee member	1 Apr 2005	Other	6540523
Jordan Jeffrey Urstadt	Head of legal and compliance	1 Jun 2006	Other	6473748
Huw Thompson	Chief compliance officer	1 Jun 2008	Other	5500859
Christopher Jon Slinger	Chief compliance officer	1 Dec 2008	Other	3105824
David Edward Mcclean	Chief compliance officer	1 Apr 2010	Other	1211045
Kazushige Kobayashi	Managing director, executive committee member	1 Nov 2010	Other	6540521
Martin Gillis Hahn	Managing director, president of executive committee	1 Nov 2011	Other	6029553
Thomas J Kubr	Executive chairman	1 Jul 2012	Other	xxx-xx-xxxx
Stefan Ammann	Chief executive officer	1 Jul 2012	Other	4762624
Thomas Kubr	Executive chairman, board member	1 Jul 2012	Other	xxx-xx-xxxx
George Georgiou	Chief operating officer	1 Jan 2013	Other	6184978
Emma Anderson	Chief financial officer	1 Jan 2013	Other	6194026
Emma Louise Anderson	Chief financial officer, executive committee member	1 Jan 2013	Other	6194026
John William Breckenridge	Managing director, executive committee member	1 Jan 2014	Other	6540518
Hina Ahmad	Chief compliance officer	1 Feb 2014	Other	6298422
Harald Zeiter	General counsel, head of legal and compliance, executive committee member	1 Mar 2015	Other	6540530
Andrew Glenn Bernstein	Managing director, executive committee member	1 Mar 2015	Other	3005866
Dianne Remanous	Executive committee member	1 Feb 2017	Other	6773634
Jens Jacob Ernberg	Executive committee member	1 Aug 2017	Other	4235187
Thomas Stuart Hall	Executive committee member	1 Aug 2017	Other	2997514

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Thomas J Kubr	Owner	1 Nov 1999	50% - 75%	xxx-xx-xxxx

Based in New York

The principal office where Capital Dynamics, Inc. performs its advisory services is located at 10 East 53 Rd Street, New York, NY 10022, which is also the mailing address of the firm. An additional office of the firm is in San Francisco, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-798-3400 or by fax 212-798-3499. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday.