Mak Capital One, LLC (New York)

Name: Mak Capital One, LLC
Address: 590 Madison Ave, New York, NY, 10022
Telephone: 212-486-3211

Mak Capital One, LLC is a large advisory firm based in New York. It manages $1.35 billion of regulatory assets for 9 client accounts. It has been registered with the SEC as an adviser since 2013.

Mak Capital One 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.

Mak Capital One: assets under management

The assets under management (AUM) of Mak Capital One, LLC is $1.35 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -49% since the beginning of its operation, and $75.41 million of the total AUM is attributable to clients outside of the United States.

The firm manages $1.35 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $150.23 million each.

Mak Capital One has custody of $1.35 billion in cash and securities for 9 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Mak Capital One, 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 Mak Capital One serves?

The only and largest group of clients of Mak Capital One is pooled investment vehicles with 9 clients and $1.35 billion of assets under management. Among the 8 most similar advisory firms, Mak Capital One has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $1.35 billion for 9 clients. 67% of the firm’s clients are foreign persons or businesses.

Mak Capital One also advises several private funds. Namely, two hedge funds and one private equity fund. The minimum investment commitment required of non-related persons ranges from $1,000,000 to $5,000,000.

Careers at Mak Capital One, LLC

The company employs 13 people that are either part- or full-time employees. 46 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
Michael Anthony Kaufman	Managing member and chief investment officer	1 May 2002	75% - 100%	5101452
David Nicholas Smith	Managing director, chief operating officer and chief compliance officer	1 Nov 2008	Other	6026601

Based in New York

The principal office where Mak Capital One, LLC performs its advisory services is located at 590 Madison Ave, New York, NY 10022, 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 212-486-3211 or by fax 212-486-4779. The normal business hours are 9am-5pm on Monday - Friday. You can find more information about the New York firm at makcapitalfund.com/.