Steven Charles Capital Ltd (Rochester)

Name: Steven Charles Capital Ltd
Address: 200 Canal View Blvd, Rochester, NY, 14623
Telephone: 585-325-1870

Steven Charles Capital Ltd is a mid-sized advisory firm based in Rochester. It manages $87 million of regulatory assets for 97 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of New York and Texas.

Steven Charles Capital provides portfolio management for individuals and small businesses and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Steven Charles Capital: assets under management

The assets under management (AUM) of Steven Charles Capital Ltd is $87 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -58% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $87 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $896.91 thousand each.

Investments

The firm invests in other assets the most. They account for 84% of the total AUM. The second-largest asset type is investment and business development companies, which make up 7% of the firm’s portfolio. Investments in cash and cash equivalents form 3% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Steven Charles Capital Ltd for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Steven Charles Braverman serves?

The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Steven Charles Braverman is high net worth individuals with 86 clients and $80 million of assets under management. Among the 2 most similar advisory firms, Steven Charles Capital has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $87 million for 97 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Steven Charles Capital doesn't advise any private funds.

Careers at Steven Charles Capital Ltd

The company employs 4 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There’s a single person 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.

Steven Charles Braverman has been acting as President since 1 Feb 1986. Dan E Braverman joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Steven Charles Braverman	President/ceo	1 Feb 1986	75% - 100%	706647
Martha Jo Pulver	Vp/chief compliance officer	1 Sep 1986	Other	1208842
Dan E Braverman	Chief compliance officer	1 Feb 2103	Other	5785012
Jeffrey E Braverman	Chief compliance officer	1 Feb 2103	Other	5785012

Based in Rochester

The principal office where Steven Charles Capital Ltd performs its advisory services is located at 200 Canal View Blvd, Rochester, NY 14623, 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 585-325-1870 or by fax 585-325-1879. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at stevencharlescapital.com.