Schwartz & Hofflich Capital Management, L.P. (Southport)


Schwartz & Hofflich Capital Management, L.P. is a large advisory firm based in Southport. It manages $26.72 million of regulatory assets for 132 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Connecticut and New York.

Schwartz & Hofflich Capital Management provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Schwartz & Hofflich Capital Management: assets under management

The assets under management (AUM) of Schwartz & Hofflich Capital Management, L.P. is $26.72 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -54% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $26.72 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $202.45 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Schwartz & Hofflich Capital Management, L.P. 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.

Indirect Owners

The SEC currently registers 10 indirect owners.

Name Entity Date acquired Ownership Employer ID
Lawrence Feldman Partner 1 Jan 1974 Other 4347862
Neil Harry Bayer Partner 1 Jan 1977 Other 4347904
Gilbert Kim Watkins Partner 1 Jan 1984 Other 4347911
Barry Richard Newman Partner 1 Jan 1985 Other 4347912
Ann Dunstan Jevne Partner 1 Jan 1989 Other 4347916
Barry Lewis Sunshine Partner 1 Jan 1990 Other 4347925
Lawrence Feldman President 1 Oct 1994 25% - 50% 4347862
Neil Harry Bayer Secretary 1 Oct 1994 25% - 50% 4347904
Pasqualino P. Spagnoli Partner 1 Jan 1996 Other 4347932
Eric John Prescott Partner 1 Jan 1998 Other 4347936

Based in Southport

The principal office where Schwartz & Hofflich Capital Management, L.P. performs its advisory services is located at 200 Pequot Avenue, Southport, CT 06890, 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 203-292-3316 or by fax 203-254-7193. The normal business hours are 9:00 am - 5:00pm on Monday - Friday. You can find more information about the New York firm at www.shcpa.com.