Sqn Capital Management, LLC (New York)

Name: Sqn Capital Management, LLC
Address: 100 Wall Street, New York, NY, 10005
Telephone: (212) 422-2166

Sqn Capital Management, LLC is a large advisory firm based in New York. It manages $1.13 billion of regulatory assets for 9 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of New York.

Sqn Capital Management 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.

Sqn Capital Management: assets under management

The assets under management (AUM) of Sqn Capital Management, LLC is $1.13 billion. The firm's AUM has grown by 3567% since the beginning of its operation, and $890.74 million of the total AUM is attributable to clients outside of the United States.

The firm manages $877.45 million in discretionary accounts and $248.7 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $146.24 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $82.9 million.

Sqn Capital Management has custody of $151.71 million in cash and securities for 4 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in pooled investment vehicles the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Sqn Capital Management, LLC for their services and products based on a percentage of assets under management, fixed fees, 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 Neil Anthony Roberts serves?

The firm provides services to insurance companies and pooled investment vehicles. The largest group of clients of Neil Anthony Roberts is pooled investment vehicles with 9 clients and $1.04 billion of assets under management. Among the 12 most similar advisory firms, Sqn Capital Management has the 4th lowest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $1.13 billion for 13 clients. 55% of the firm’s clients are foreign persons or businesses.

Sqn Capital Management also advises several private funds. Namely, two other private funds. The minimum investment commitment required of non-related persons is $250,000 for each fund.

Careers at Sqn Capital Management, LLC

The company employs 8 people that are either part- or full-time employees. 63 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.

Neil Anthony Roberts has been acting as President since 1 Dec 2007. David Matthew Konits joined the executive team most recently as the Cco.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Michael Carl Ponticello	Partner / executive vice president	1 Dec 2007	Other	4851169
Jeremiah Jude Silkowski	Partner / president / chief executive officer / chief compliance officer	1 Dec 2007	Other	2801912
Michael Nmn Miroshnikov	Partner / executive vice president	1 Dec 2007	Other	5769786
Llc Sqn Capital Partners	Managing member	1 Dec 2007	75% - 100%	27-0734785
Neil Anthony Roberts	Chairman	1 Dec 2007	25% - 50%	2866043
Michael Miroshnikov	Cco	1 Dec 2007	Other	5769786
David Charles Wright	Chief financial officer	1 Dec 2007	Other	6023564
Matthew John Leszyk	Senior vice president	1 Oct 2011	Other	5936375
David Matthew Konits	Cco	1 Dec 2013	Other	2531617
Claudine Amalie Aquillon	Chief operating officer	1 Aug 2014	Other	5935119
Claudine Aquillon	Chief operating officer	1 Aug 2014	Other	5935119
David Matthew Konits	Cco	1 Dec 2014	Other	2531617

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Jeremiah Jude Silkowski	Shareholder	1 Jan 2006	50% - 75%	2801912
Brandon Matthew Dell'aglio	Shareholder	1 Jan 2006	25% - 50%	6472132
Sqn Capital Corporation	Managing member	1 Aug 2009	75% - 100%	13-4318050

Based in New York

The principal office where Sqn Capital Management, LLC performs its advisory services is located at 100 Wall Street, New York, NY 10005, 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) 422-2166 or by fax (877) 214-1475. The normal business hours are 9:00 - 6:00 on Monday - Friday. You can find more information about the New York firm at sqncapital.com.