Nexphase Capital, LP (New York)


Nexphase Capital, LP is a large advisory firm based in New York. It manages $988.68 million of regulatory assets for 13 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdictions of California and New York.

Nexphase Capital 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.

Nexphase Capital: assets under management

The assets under management (AUM) of Nexphase Capital, LP is $988.68 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -18% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $988.68 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $76.05 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Nexphase Capital, LP 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 Nexphase Capital serves?

The only and largest group of clients of Nexphase Capital is pooled investment vehicles with 13 clients and $988.68 million of assets under management. Among the 9 most similar advisory firms, Nexphase Capital has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $988.68 million for 13 clients. 8% of the firm’s clients are foreign persons or businesses.

Nexphase Capital also advises several private funds. Namely, three private equity funds. The minimum investment commitment required of non-related persons is $5,000,000 for each fund.

Careers at Nexphase Capital, LP

The company employs 16 people that are either part- or full-time employees. 88 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
Andrew Brian Goldfarb Chief compliance officer / chief financial officer 1 Oct 2015 Other 4066275
Edward Doukju Yun Limited partner 1 Jan 2016 25% - 50% 1843868
Kurt B (Mio) Larsen Limited partner 1 Jan 2016 25% - 50% 1725209
Nexphase Holdings Llc General partner 1 Jan 2016 Other 35-2542535

Based in New York

The principal office where Nexphase Capital, LP performs its advisory services is located at 600 Lexington Avenue, New York, NY 10022, which is also the mailing address of the firm. An additional office of the firm is in Westlake Village, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212 878-6000. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at nexphase.com/.