Capgen Capital Advisers, LLC (New York)


Capgen Capital Advisers, LLC is a large advisory firm based in New York. It manages $174.54 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of New York.

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Capgen Capital Advisers 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.

Capgen Capital Advisers: assets under management

The assets under management (AUM) of Capgen Capital Advisers, LLC is $174.54 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -53% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $174.54 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $87.27 million each.
Capgen Capital Advisers has custody of $174.54 million in cash and securities for 2 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Capgen Capital Advisers, 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 Capgen Capital Advisers serves?

The only and largest group of clients of Capgen Capital Advisers is pooled investment vehicles with 2 clients and $174.54 million of assets under management. Among the 11 most similar advisory firms, Capgen Capital Advisers has the 2nd highest percentage of pooled investment vehicles out of all clients.


The amount of regulatory assets under management is $174.54 million for 2 clients. None of the firm’s clients are foreign persons or businesses.

Capgen Capital Advisers also advises several private funds. Namely, four private equity funds. The minimum investment commitment required of non-related persons is $500,000 for each fund.

Careers at Capgen Capital Advisers, LLC

The company employs 7 people that are either part- or full-time employees. 71 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
Eugene Allan Ludwig Managing principal, managing member 1 Jul 2007 25% - 50% 4787320
John Wilson Rose Principal, member 1 Jul 2007 25% - 50% 1201986
Robert Bernard Goldstein Principal, member 1 Jul 2007 25% - 50% 6027517
John P Sullivan Managing director 1 Jul 2007 Other 1909161
John Richard Caughey Chief compliance officer, chief financial officer, vice president 1 Jul 2007 Other 6027519
Robert Joseph Merlino Chief compliance officer and senior vice president 1 Jan 2016 Other 4924566
John P Sullivan Chief financial officer and managing director 1 Jan 2016 Other 1909161
Charles Kevin Rogers Chief financial officer and senior vice president 1 Mar 2016 Other 1552123

Based in New York

The principal office where Capgen Capital Advisers, LLC performs its advisory services is located at 120 West 45 Th Street, New York, NY 10036, 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 212 542-6868 or by fax 212 542-6879. The normal business hours are 9am - 5pm on Monday - Friday. You can find more information about the New York firm at capgen.com/.