Neon Liberty Capital Management, LLC (New York)

Name: Neon Liberty Capital Management, LLC
Address: 600 Third Avenue, New York, NY, 10016
Telephone: 212-983-1518

Neon Liberty Capital Management, LLC is a large advisory firm based in New York. It manages $1.51 billion of regulatory assets for 11 client accounts. It has been registered with the SEC as an adviser since 2009.

Neon Liberty 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.

Neon Liberty Capital Management: assets under management

The assets under management (AUM) of Neon Liberty Capital Management, LLC is $1.51 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 153% since the beginning of its operation, and $908.58 million of the total AUM is attributable to clients outside of the United States.

The firm manages $1.51 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $137.37 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Neon Liberty Capital Management, 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.

What kind of clients Neon Liberty Capital Management serves?

The only and largest group of clients of Neon Liberty Capital Management is pooled investment vehicles with 11 clients and $1.51 billion of assets under management. Among the 9 most similar advisory firms, Neon Liberty Capital Management has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $1.51 billion for 11 clients. 36% of the firm’s clients are foreign persons or businesses.

Neon Liberty Capital Management also advises several private funds. Namely, five hedge funds. The minimum investment commitment required of non-related persons is $500,000 for each fund.

Careers at Neon Liberty Capital Management, LLC

The company employs 18 people that are either part- or full-time employees. 67 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
Satyen Mehta	Manager	1 Jan 2003	Other	5078941
Lp Neon Capital Management	Member	1 Jan 2003	50% - 75%	45-0485206
Inc. M.T.J.C.	Member	1 Jan 2003	25% - 50%	04-3413393
Joseph Zev Shiffman	Chief compliance officer	1 Feb 2007	Other	5451592
Llc M.T.J.C.	Member	1 Jan 2009	25% - 50%	20-2386223

Indirect Owners

The SEC currently registers 7 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Claire Aline Walton	Shareholder/director/officer	1 Mar 1998	Other	1439532
Margaret Mcgetrick Horkings	Shareholder/director/officer	1 Mar 1998	25% - 50%	4643134
Thomas Joseph Niedermeyer	Shareholder/director/officer	1 Mar 1998	25% - 50%	1062780
Margaret Ann Mcgetrick	Shareholder/director/officer	1 Mar 1998	25% - 50%	4643134
Alejandro Baez Sacasa	Limited partner/principal	1 Jan 2003	25% - 50%	5078939
Llc Neon Liberty Capital Management Gp	General partner	1 Jan 2003	Other	45-0485205
Nlcm Cf Gp Llc	General partner	1 Oct 2010	Other	27-3701582

Based in New York

The principal office where Neon Liberty Capital Management, LLC performs its advisory services is located at 600 Third Avenue, New York, NY 10016, 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 212-983-1518 or by fax 212-983-3273. The normal business hours are 8:00 a.m. - 7:00 p.m. on Monday - Friday. You can find more information about the New York firm at neonliberty.com/.