Fsi Capital Holdings, LLC (Los Angeles)

Name: Fsi Capital Holdings, LLC
Address: 515 South Figueroa Street, Los Angeles, CA, 90071
Telephone: 213-443-5005

Fsi Capital Holdings, LLC is an adviser based in Los Angeles. It manages $22.11 million of regulatory assets for 8 client accounts. It has been registered with the SEC as an adviser since 2010.

Fsi Capital Holdings provides investment management of cdo's. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Fsi Capital Holdings: assets under management

The assets under management (AUM) of Fsi Capital Holdings, LLC is $22.11 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -100% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $22.11 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.76 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Fsi Capital Holdings, 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 Fsi Capital Holdings serves?

The only and largest group of clients of Fsi Capital Holdings is pooled investment vehicles with 8 clients and $22.11 million of assets under management. Among the 2 most similar advisory firms, Fsi Capital Holdings has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $22.11 million for 8 clients. 100% of the firm’s clients are foreign persons or businesses.

Fsi Capital Holdings also advises several private funds. Namely, nine securitized asset funds. The minimum investment commitment required of non-related persons ranges from $100,000 to $500,000.

Careers at Fsi Capital Holdings, LLC

The company employs 1 person that is either a part- or full-time employee. 100 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
Stephan Randolph Kuppenheimer	Chief executive officer & elected manager	1 Aug 2006	Other	4444819
Steven Neal Stein	Chairman & elected manager	1 Aug 2006	Other	4373099
John Magrish Stein	Vice chairman & elected manager	1 Aug 2006	Other	4373119
Eric S Stein	Elected manager	1 Aug 2006	Other	4560500
Inc. Solidus Capital B	Owner	1 Feb 2007	75% - 100%	20-8641888
Inc. Solidus Capital A	Owner	1 Feb 2007	50% - 75%	20-8641962
John Jerome Penote	Chief financial officer	1 Feb 2010	Other	4649917
Ron Elimelekh	Chief compliance officer and general counsel	1 Feb 2010	Other	5759228
Stephan Randolph Kuppenheimer	Chief compliance officer	1 Jan 2014	Other	4444819
Paul Joseph Ayd	Chief compliance officer	1 May 2015	Other	2963853
Nicolaus & Company Incorporated Stifel	Owner	1 May 2015	75% - 100%	793
Stifel Venture Corp.	100% owner of solidus capital b, inc	1 Apr 2016	Other	43-1352885
Inc. Solidus Capital B	Direct owner - shareholder	1 Apr 2016	75% - 100%	20-8641888
Stifel Financial Corp	100% owner of stifel venture	1 Apr 2016	Other	43-1273600

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Stephan Randolph Kuppenheimer	Shareholder	1 Feb 2007	75% - 100%	4444819
Steven Neal Stein	Shareholder	1 Feb 2007	25% - 50%	4373099
John Magrish Stein	Shareholder	1 Feb 2007	25% - 50%	4373119
Eric S Stein	Shareholder	1 Feb 2007	Other	4560500
Stifel Financial Corp.	Parent company of stifel venture	1 May 2015	Other	43-1273600
Stifel Venture Corp	Indirect owner	1 Apr 2016	75% - 100%	43-1352885

Based in Los Angeles

The principal office where Fsi Capital Holdings, LLC performs its advisory services is located at 515 South Figueroa Street, Los Angeles, CA 90071, which is also the mailing address of the firm. An additional office of the firm is in Chicago, IL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 213-443-5005 or by fax 213-443-5005. The normal business hours are 8:30 - 5:30 on Monday - Friday. You can find more information about the New York firm at fsicapital.com.