Fairlead Capital Management, Inc. (New York)

Fairlead Capital Management, Inc. is a large advisory firm based in New York. It manages $101.79 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2004.

Fairlead Capital Management 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.

Fairlead Capital Management: assets under management

The assets under management (AUM) of Fairlead Capital Management, Inc. is $101.79 million, all of which is managed in discretionary accounts. The company doesn't manage any assets belonging to foreign clients.

The firm manages $101.79 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $101.79 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Fairlead Capital Management, Inc. for their services and products based on a percentage of assets under management. 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.

Careers at Fairlead Capital Management, Inc.

Mark Allan Standish has been acting as President since 1 Oct 2004. Andrew John Ford joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Rbc Usa Holdco Corporation	Shareholder	1 Oct 2004	75% - 100%	20-0263684
Mark Allan Standish	Director	1 Oct 2004	Other	2223303
Lee Michael Shaiman	Director, president and chief investment officer	1 Oct 2004	Other	1215504
Dieter Alfons Dorp	Director	1 Oct 2004	Other	4355241
Jane Chonghee Lee	Chief operating officer	1 Oct 2004	Other	4889797
Melissa Ann Marano Thompson	Vice-president and senior portfolio manager	1 Oct 2004	Other	4889880
Alan Roy Hibben	Director	1 Oct 2004	Other	4891267
Daniel Harlan Smtih	Director and chief executive officer	1 Oct 2004	Other	1714463
Andrew John Ford	Chief compliance officer	1 Dec 2004	Other	4605931

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Rbc Holdings (Usa) Inc.	Shareholder	1 Dec 2003	75% - 100%	13-3237290
Royal Bank Of Canada	Shareholder	1 Dec 2003	75% - 100%	13-5357855

Based in New York

The principal office where Fairlead Capital Management, Inc. performs its advisory services is located at One Liberty Plaza, New York, NY 10006, 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 212-858-8328 or by fax 212-858-7480. The normal business hours are 8:30 to 5:30 on Monday - Friday.