Norman Fields, Gottscho Capital Management LLC (New York)

Name: Norman Fields, Gottscho Capital Management LLC
Address: 1120 Avenue Of The Americas, New York, NY, 10036
Telephone: 800-628-3812

Norman Fields, Gottscho Capital Management LLC is a large advisory firm based in New York. It manages $202.29 million of regulatory assets for 200 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of California, Connecticut, District of Columbia, and 7 other states.

Norman Fields, Gottscho Capital Management 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.

Norman Fields, Gottscho Capital Management: assets under management

The assets under management (AUM) of Norman Fields, Gottscho Capital Management LLC is $202.29 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -4% since the beginning of its operation, and $3.97 million of the total AUM is attributable to clients outside of the United States.

The firm manages $202.29 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.01 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 cash and cash equivalents, which make up 4% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Norman Fields, Gottscho Capital Management LLC for their services and products based on a percentage of assets under management and hourly charges. 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.

What kind of clients Norman Fields, Gottscho Capital Management serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Norman Fields, Gottscho Capital Management is high net worth individuals with 67 clients and $180.9 million of assets under management. Among the 8 most similar advisory firms, Norman Fields, Gottscho Capital Management has the 3rd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $197.04 million for 100 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 3% of the firm’s clients are foreign persons or businesses.

Norman Fields, Gottscho Capital Management doesn't advise any private funds.

Careers at Norman Fields, Gottscho Capital Management LLC

The company employs 4 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
Norman Charles Fields	Managing member, chairman	1 Jun 2005	25% - 50%	207355
Christopher Martin Gottscho	Managing member, president	1 Jun 2005	50% - 75%	2139307
Rozanne N Collura	Chief compliance officer	1 Nov 2006	Other	51422
Veronica Janet Perez	Chief compliance officer	1 Jun 2013	Other	4127993

Based in New York

The principal office where Norman Fields, Gottscho Capital Management LLC performs its advisory services is located at 1120 Avenue Of The Americas, New York, NY 10036, which is also the mailing address of the firm. An additional office of the firm is in Park City, UT. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 800-628-3812 or by fax 212-626-2698. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at normanfieldsgottscho.com.