John Hsu Capital Group, Inc. (New York)

Name: John Hsu Capital Group, Inc.
Address: 800 Third Avenue, New York, NY, 10022
Telephone: 212-223-7515

John Hsu Capital Group, Inc. is a large advisory firm based in New York. It manages $119.99 million of regulatory assets for 17 client accounts. It has been registered with the SEC as an adviser since 2001.

John Hsu Capital Group provides portfolio management for individuals and small businesses and 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.

John Hsu Capital Group: assets under management

The assets under management (AUM) of John Hsu Capital Group, Inc. is $119.99 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -64% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $119.99 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $7.06 million each.

Investments

The firm invests in exchange traded securities the most. They account for 96% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 2% of the firm’s portfolio. Investments in cash and cash equivalents form 1% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay John Hsu Capital Group, 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 John Hsu Capital Group, Inc.

The company employs 5 people that are either part- or full-time employees. 60 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.

John Hsu has been acting as President since 1 Apr 1991. Daniel Lew joined the executive team most recently as the Senior Portfolio Manager & Managing Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
John Hsu	Chairman	1 Apr 1991	75% - 100%	4361630
Rebecca Bodell Hsu	Chief compliance officer	1 Sep 2004	Other	719023
Rebecca Alice Bodell	Chief compliance officer	1 Sep 2004	Other	719023
Daniel Lew	Senior portfolio manager & managing director	1 May 2013	Other	2152852

Based in New York

The principal office where John Hsu Capital Group, Inc. performs its advisory services is located at 800 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.

You can reach the main office by calling the phone number 212-223-7515 or by fax 212-980-8134. The normal business hours are 8:30am - 5:00pm on Monday - Friday. You can find more information about the New York firm at johnhsucapital.com.