Midwood Capital Management LLC (Chestnut Hill)


Midwood Capital Management LLC is a mid-sized advisory firm based in Chestnut Hill. It manages $86.26 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdiction of Massachusetts.

Midwood Capital Management provides portfolio management for investment companies and 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.

Midwood Capital Management: assets under management

The assets under management (AUM) of Midwood Capital Management LLC is $86.26 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -19% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $86.26 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $43.13 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Midwood Capital Management 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 Midwood Capital Management serves?

The firm provides services to investment companies and pooled investment vehicles. The largest group of clients of Midwood Capital Management is pooled investment vehicles with 1 clients and $46.67 million of assets under management. Among the 3 most similar advisory firms, Midwood Capital Management has the lowest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $86.26 million for 2 clients. None of the firm’s clients are foreign persons or businesses.

Midwood Capital Management also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at Midwood Capital Management LLC

The company employs 2 people that are either part- or full-time employees. 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
David Eric Cohen Managing member 1 Jan 2003 25% - 50% 5041540
Ross D Demont Managing member 1 Jan 2003 25% - 50% 5041545
Howard Bruce Rubin Managing member, chief operating officer and chief compliance officer 1 Feb 2012 25% - 50% 2101682
Howard Bruce Rubin Class c member 1 Jan 2017 Other 2101682
Balter Capital Management Llc Class b member 1 Jan 2017 Other 143880
James A. Fricano Chief compliance officer 1 Jan 2017 Other 6567657
Rebecca Elise Gompper Chief compliance officer 1 Nov 2017 Other 6889453

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Bradley Ross Balter Managing member/chief executive officer 1 Mar 2007 50% - 75% 2197950

Based in Chestnut Hill

The principal office where Midwood Capital Management LLC performs its advisory services is located at 25 Plowgate Road, Chestnut Hill, MA 02467, which is also the mailing address of the firm. An additional office of the firm is in Boston, MA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 617-912-4972. The normal business hours are 8:30 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at midwoodcapital.com.