Mezzacappa Investors, LLC (New York)

Mezzacappa Investors, LLC is an adviser based in New York. It manages $19.86 million of regulatory assets for 5 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of New York.

Mezzacappa Investors provides portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Mezzacappa Investors: assets under management

The assets under management (AUM) of Mezzacappa Investors, LLC is $19.86 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -98% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $19.86 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.97 million each.

Mezzacappa Investors has custody of $19.86 million in cash and securities for 5 clients in total and acts as a qualified custodian.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Mezzacappa Investors, LLC 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 Mezzacappa Investors, LLC

Louis Gregory Rice joined the executive team most recently as the Chief Operating Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Damon Mezzacappa	Chief executive officer	1 Jan 1999	75% - 100%	333440
Francis Joseph Conroy	Chief financial officer	1 Mar 1999	Other	2216393
Francis J Conroy	Chief financial officer	1 Jul 1999	Other	2216393
Robin Estelle Willoughby	Managing director	1 Aug 2001	Other	2550565
Darcy Ellen Bradbury	Managing director	1 Jan 2002	Other	1495056
Lenore Ann Petteruti	Managing director	1 Apr 2002	Other	1409623
John Doremus Mills	Managing director	1 Apr 2002	Other	1103623
Darcy Ellen Bradbury	Managing director	1 Jan 2003	Other	1495056
Christopher Scott Nagle	Chief financial officer	1 May 2004	Other	4832218
Barry David Tannen	Managing director	1 Dec 2004	Other	840664
Salvatore Rocco Faia	Chief compliance officer	1 Jun 2005	Other	4372361
Louis Gregory Rice	Chief operating officer	1 Dec 2005	Other	1715563

Based in New York

The principal office where Mezzacappa Investors, LLC performs its advisory services is located at 830 Third Avenue, New York, NY 10022, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.