Four Wood Capital Advisors LLC (Montclair)


Four Wood Capital Advisors LLC is a large advisory firm based in Montclair. It manages $171 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of New Jersey and New York.

Four Wood Capital Advisors provides portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Four Wood Capital Advisors: assets under management

The assets under management (AUM) of Four Wood Capital Advisors LLC is $171 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 173% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $171 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $171 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Four Wood Capital Advisors LLC for their services and products based on a percentage of assets under management. 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 Four Wood Capital Advisors serves?

The only and largest group of clients of Four Wood Capital Advisors is investment companies with 1 clients and $171 million of assets under management. Among the 8 most similar advisory firms, Four Wood Capital Advisors has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $171 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Four Wood Capital Advisors doesn't advise any private funds.

Careers at Four Wood Capital Advisors LLC

The company employs 8 people that are either part- or full-time employees. No 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
Peter E Pisapia Managing partner, general counsel and chief compliance officer 1 May 2012 Other 2480590
Maryam H Muessel Managing partner 1 May 2012 Other 4175455
Steven Angelo Baffico Managing partner, chief executive officer 1 Jun 2012 Other 4136467
Four Wood Capital Partners Llc Sole member 1 Jul 2012 75% - 100% 45-3009072
Jennifer Marie Wilson Chief financial officer 1 Mar 2013 Other 4589856
William Gerard Mccoy Chief compliance officer 1 Jan 2014 Other 1057354
Marios T Tsiptsis Officer 1 Jan 2014 Other 5233980
James Reed Trimble Chief compliance officer 1 Nov 2017 Other 6924647

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Steven Angelo Baffico Managing partner 1 Nov 2012 75% - 100% 4136467

Based in Montclair

The principal office where Four Wood Capital Advisors LLC performs its advisory services is located at 33 Plymouth Street, Montclair, NJ 07042, 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 212-701-4500 or by fax 917-398-5883. The normal business hours are 9am-5pm on Monday - Friday. You can find more information about the New York firm at fourwoodcapital.com.