Emancipation Capital LLC (New York)


Emancipation Capital LLC is a mid-sized advisory firm based in New York. It manages $33.48 million of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2005.

Emancipation Capital provides 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.

Emancipation Capital: assets under management

The assets under management (AUM) of Emancipation Capital LLC is $33.48 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 34% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $33.48 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $8.37 million each.
Emancipation Capital has custody of $33.48 million in cash and securities for 4 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Emancipation Capital 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 Emancipation Capital serves?

The only and largest group of clients of Emancipation Capital is pooled investment vehicles with 4 clients and $33.48 million of assets under management. Among the 4 most similar advisory firms, Emancipation Capital has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $33.48 million for 4 clients. None of the firm’s clients are foreign persons or businesses.

Emancipation Capital 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 $100,000 to $1,000,000.

Careers at Emancipation Capital LLC

The company employs 4 people that are either part- or full-time employees. 75 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
Charles Iver Frumberg Managing member 1 Jul 2003 75% - 100% 718803
Jonathan Louis Rothenberg Member 1 Jul 2003 Other 2638808
Joo Hun Kim Member 1 Jan 2006 Other 4291000
Joo Hun Kim Member 1 Jan 2007 Other 4291000
Christian Michael Wallace Member 1 Jun 2011 Other 4707963
Christian Michael Wallace Member, chief compliance officer 1 Oct 2014 Other 4707963

Based in New York

The principal office where Emancipation Capital LLC performs its advisory services is located at 825 Third Avenue, New York, NY 10022 7519, 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 212-605-0661 or by fax 212-605-0667. The normal business hours are 9 a.m. to 5 p.m. on Monday - Friday. You can find more information about the New York firm at emancipationcapital.com.