Hvb Capital Markets, Inc. (New York)

Hvb Capital Markets, Inc. is a large advisory firm based in New York. It manages $173.09 million of regulatory assets for 164 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdiction of New York.

Hvb Capital Markets provides portfolio management for individuals and small businesses and 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.

Hvb Capital Markets: assets under management

The assets under management (AUM) of Hvb Capital Markets, Inc. is $173.09 million. The firm's AUM has gone down by -12% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $160.35 million in discretionary accounts and $12.75 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.07 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $910.66 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Hvb Capital Markets, 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 Hvb Capital Markets, Inc.

Matthew Paul Dunn has been acting as President since 1 Dec 2003. Howard Spindel joined the executive team most recently as the Fin Op.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Matthew Paul Dunn	Director	1 Dec 2003	Other	xxx-xx-xxxx
Gabrielle Falger	Secretary	1 Jan 2004	Other	xxx-xx-xxxx
David James Morgan	President	1 Apr 2004	Other	2723189
Hvb U.S. Finance Inc.	Direct owner	1 Dec 2004	75% - 100%	13-3916633
Andrew James Lupo	Chief compliance officer	1 Apr 2005	Other	1296320
Gyula Bela Schuch	Director	1 Mar 2007	Other	2666645
Howard Spindel	Fin-op	1 Nov 2007	Other	708042

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Bayerische Hypo Und Vereinsbank Ag	Indirect owner	1 Sep 1998	75% - 100%	13-2774123
Unicredito Italiano S.P.A.	Parent company-indirect owner	1 Nov 2005	75% - 100%	13-2751277

Based in New York

The principal office where Hvb Capital Markets, Inc. performs its advisory services is located at 150 East 42 Nd Street, New York, NY 10017, 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 212-672-5945 or by fax 212-672-5511. The normal business hours are 9:00 - 5:00 on Monday - Friday.