Mohican Financial Management, LLC (Wilton)

Name: Mohican Financial Management, LLC
Address: 21 River Road, Suite 2100, Wilton, CT, 06897
Telephone: 203-423-8029

Mohican Financial Management, LLC is an investment adviser to an investment company based in Wilton. It manages $83.08 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdiction of Connecticut.

Mohican Financial Management provides portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Mohican Financial Management: assets under management

The assets under management (AUM) of Mohican Financial Management, LLC is $83.08 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 131% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $83.08 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $83.08 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Mohican Financial Management, 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.

What kind of clients Mohican Financial Management serves?

The only and largest group of clients of Mohican Financial Management is investment companies with 1 clients and $83.08 million of assets under management. Among the 3 most similar advisory firms, Mohican Financial Management has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $83.08 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Mohican Financial Management doesn't advise any private funds.

Careers at Mohican Financial Management, LLC

The company employs 3 people that are either part- or full-time employees. 67 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.

Rebecca Lee Gardner joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Daniel Charles Hage	Chief operating officer	1 Oct 2002	50% - 75%	2628818
Eric Charles Hage	Chief executive officer	1 Oct 2002	50% - 75%	1996695
Charles Thomas Hage	Chief compliance officer	1 Oct 2002	Other	5087361
Daniel C Hage	Chief operating officer	1 Oct 2002	25% - 50%	2628818
Rebecca Lee Gardner	Chief compliance officer	1 Jan 2017	Other	6743099

Based in Wilton

The principal office where Mohican Financial Management, LLC performs its advisory services is located at 21 River Road, Suite 2100, Wilton, CT 06897, 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 203-423-8029 or by fax 203-529-3005. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at mohicanfinancial.com/.