Fic Capital, Inc. (New York)

Name: Fic Capital, Inc.
Address: 260 Madison Ave., New York, NY, 10016
Telephone: 212-679-2100

Fic Capital, Inc. is a large advisory firm based in New York. It manages $306.73 million of regulatory assets for 345 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of California, Connecticut, Florida, and 11 other states.

Fic Capital provides financial planning services, portfolio management for individuals and small businesses, and portfolio management for businesses and institutional clients. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

Fic Capital: assets under management

The assets under management (AUM) of Fic Capital, Inc. is $306.73 million. The firm's AUM has grown by 509% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $277.73 million in discretionary accounts and $29 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $809.71 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $14.5 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Fic Capital, Inc. for their services and products based on a percentage of assets under management and fixed 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 Fic Capital, Inc.

Derek R Evans has been acting as President since 1 Jun 2007. Ann Redican Executor The Estate Of Francis Warren Redican joined the executive team most recently as the Estate Account Of Francis Warren Redican.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Jonathan Andrew Ferguson	Chairman, chief executive officer, chief financial officer, president, & director	1 Feb 2006	25% - 50%	2819973
Terrence Robert Emde	Chief compliance officer, chief legal officer, chief operating officer & director	1 Feb 2006	Other	2822067
Cynthia Louise Ferguson	Consultant	1 Feb 2006	Other	5030122
Derek R Evans	Director	1 Jun 2007	Other	5436251
Lawrence Michael Waterhouse	Managing director	1 Apr 2010	25% - 50%	2092303
Francis Warren Redican	Director	1 Apr 2010	Other	372313
John Kyle Redican	Chief compliance officer	1 Mar 2016	Other	2520343
Ann Redican Executor The Estate Of Francis Warren Redican	Estate account of francis warren redican	1 Jul 2016	Other	xxx-xx-xxxx

Based in New York

The principal office where Fic Capital, Inc. performs its advisory services is located at 260 Madison Ave., New York, NY 10016, which is also the mailing address of the firm. An additional office of the firm is in Portland, OR. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-679-2100 or by fax 212-679-2125. The normal business hours are 8 a.m to 6 p.m. on Monday - Friday. You can find more information about the New York firm at ficcapital.com.