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Vertical Capital, LLC (New York)


Vertical Capital, LLC is a large advisory firm based in New York. It manages $416.72 million of regulatory assets for 17 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdiction of New York.

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Vertical Capital provides portfolio management for pooled investment vehicles 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.

Vertical Capital: assets under management

The assets under management (AUM) of Vertical Capital, LLC is $416.72 million. The firm's AUM has gone down by -97% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $399.16 million in discretionary accounts and $17.56 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $30.7 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $4.39 million.

Fees & Commissions

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

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Brett Thomas Graham Member 1 Feb 2007 25% - 50% 2053182
Thomas Mccallum Pearce Member 1 Feb 2007 25% - 50% 1425966

Based in New York

The principal office where Vertical Capital, LLC performs its advisory services is located at 437 Madison Avenue, Suite 19 B, 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 212-786-5300 or by fax 212-786-5301. The normal business hours are 9:00am to 5:00pm on Monday - Friday. You can find more information about the New York firm at verticalcapital.com.


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