Nms Capital Services, LLC (New York)

Name: Nms Capital Services, LLC
Address: 32 Old Slip, Suite 32 D, New York, NY, 10005
Telephone: 212-422-7099

Nms Capital Services, LLC is a large advisory firm based in New York. It manages $804.13 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2012.

Nms Capital Services 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.

Nms Capital Services: assets under management

The assets under management (AUM) of Nms Capital Services, LLC is $804.13 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 303% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $804.13 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $268.04 million each.

Nms Capital Services has custody of $363.77 million in cash and securities for 3 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Nms Capital Services, 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 Nms Capital Services serves?

The only and largest group of clients of Nms Capital Services is pooled investment vehicles with 3 clients and $804.13 million of assets under management. Among the 8 most similar advisory firms, Nms Capital Services has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $804.13 million for 3 clients. None of the firm’s clients are foreign persons or businesses.

Nms Capital Services also advises several private funds. Namely, three private equity funds. The minimum investment commitment required of non-related persons ranges from $2,000,000 to $10,000,000.

Careers at Nms Capital Services, LLC

The company employs 10 people that are either part- or full-time employees. 90 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
Llc New Mainstream Capital Management Holding	Managing member	1 Jun 2009	75% - 100%	27-0433567
Martin Efrain Chavez	Managing partner	1 Dec 2010	Other	2759549
Kevin Michael Jordan	Managing partner	1 Dec 2010	Other	2096874
Wyche Henry Walton	Partner	1 Dec 2010	Other	5940009
James Glenn Wilson	Partner / chief financial officer / chief compliance officer	1 Dec 2010	Other	5940012

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Llc Mec Private Equity Holdings	Member	1 Feb 2010	25% - 50%	27-3697094
Martin Efrain Chavez	Sole member	1 Feb 2010	75% - 100%	2759549
Llc Kmj Private Equity Holdings	Member	1 Feb 2010	25% - 50%	27-3698376
Kevin Michael Jordan	Sole member	1 Feb 2010	75% - 100%	2096874
Jose J Armas	Member	1 Feb 2010	Other	6178837

Based in New York

The principal office where Nms Capital Services, LLC performs its advisory services is located at 32 Old Slip, Suite 32 D, New York, NY 10005, which is also the mailing address of the firm. An additional office of the firm is in Dallas, TX. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-422-7099. The normal business hours are 8:30 a.m. to 5:30 p.m. on Monday - Friday. You can find more information about the New York firm at nms-capital.com/.