Nct Opportunities Inc (Stamford)

Nct Opportunities Inc is a large advisory firm based in Stamford. It manages $235.56 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Connecticut and North Carolina.

Nct Opportunities provides portfolio management for individuals and small businesses and portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Nct Opportunities: assets under management

The assets under management (AUM) of Nct Opportunities Inc is $235.56 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 95% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $235.56 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $117.78 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Nct Opportunities Inc for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Nct Opportunities Inc

Stephen C. Hassenfedt has been acting as President since 1 Sep 1999. Douglas Alan Lindgren joined the executive team most recently as the Chairman.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
John R. Rich	Director/ chief investment officer	1 Jan 1995	Other	4372298
Stephen C. Hassenfedt	Chairman/ceo/director	1 Sep 1999	Other	4372267
Donald F. Orr	Director	1 Sep 1999	Other	4372293
Maribeth S Rahe	Director	1 Sep 1999	Other	4357217
Inc. Nct Holdings	Shareholder	1 Sep 1999	75% - 100%	13-0000000
Stephen Craig Hassenfelt	Chairman/ceo/director	1 Sep 1999	Other	4372267
Sharon Maurine Davison	Director of securities compliance for u.s. trust corporation subsidiaries	1 Sep 2001	Other	1367871
U.S. Trust Corporation	100% owner	1 Oct 2002	75% - 100%	13-3818952
Craig Lee Walling	Chairman, ceo & director, u.s. trust company, n.a.	1 Feb 2003	Other	4613175
Douglas Alan Lindgren	Chairman	1 Jul 2003	Other	1258979
Spencer N Boggess	Chief executive officer	1 Jul 2003	Other	4543091

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
U.S. Trust Corporation	Shareholder	1 Sep 1999	75% - 100%	13-3818952
The Charles Schwab Corporation	Shareholder	1 Jun 2000	75% - 100%	94-3025021

Based in Stamford

The principal office where Nct Opportunities Inc performs its advisory services is located at 225 High Ridge Road, Stamford, CT 06905, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 203-352-4400 or by fax 203-352-4488. The normal business hours are 8:30am to 5:30pm on Monday - Friday.