Dubin & Swieca Capital Management, LLC (New York)

Dubin & Swieca Capital Management, LLC is a large advisory firm based in New York. It manages $1.08 billion of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2004.

Dubin & Swieca Capital Management 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.

Dubin & Swieca Capital Management: assets under management

The assets under management (AUM) of Dubin & Swieca Capital Management, LLC is $1.08 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 27% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.08 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $269.25 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Dubin & Swieca Capital Management, 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.

Careers at Dubin & Swieca Capital Management, LLC

Tracy Karen Mchale Stuart has been acting as President since 1 Apr 2004. Llc Dubin & Swieca Capital Management joined the executive team most recently as the General Partner.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Henry Alexander Swieca	Co-chairman	1 Dec 1997	50% - 75%	711959
Glenn Russel Dubin	Co-chairman	1 Dec 1997	50% - 75%	864420
Glenn Russell Dubin	Director	1 Dec 1997	Other	864420
Inc. Dubin & Swieca Capital Management	Sole owner	1 Dec 1997	75% - 100%	13-3530960
Anthony James Anselmo	Chief financial officer	1 Mar 2004	Other	1787879
Tracy Karen Mchale Stuart	President	1 Apr 2004	Other	4050592
Llc Dubin & Swieca Capital Management	General partner	1 Mar 2005	75% - 100%	130819
Daniel Evan Friedman	Chief legal officer	1 Mar 2005	Other	4965374

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Henry Alexander Swieca	Co-chairman	1 Jun 1989	50% - 75%	711959
Glenn Russell Dubin	Co-chairman	1 Jun 1989	50% - 75%	864420

Based in New York

The principal office where Dubin & Swieca Capital Management, LLC performs its advisory services is located at 9 West 57 Th Street, 25 Th Floor, New York, NY 10019, 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) 634-7373 or by fax (212) 634-7399. The normal business hours are 8:30am - 6:30pm on Monday - Friday.