Macquarie Capital Funds Inc. (New York)


Macquarie Capital Funds Inc. is a large advisory firm based in New York. It manages $2.38 billion of regulatory assets for 9 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdiction of California.

Macquarie Capital Funds provides 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.

Macquarie Capital Funds: assets under management

The assets under management (AUM) of Macquarie Capital Funds Inc. is $2.38 billion. The company doesn't manage any assets belonging to foreign clients.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Macquarie Capital Funds Inc. for their services and products based on 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.

Careers at Macquarie Capital Funds Inc.

Stephen Mentzines has been acting as President since 1 Oct 2007. William Edward Dermody joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Christopher John Leslie Director 1 May 2007 Other 4142819
Benjamin William John Perham Director 1 May 2007 Other 5008646
Michael Cook Director 1 May 2007 Other 5507355
Christine Rivera Secretary 1 May 2007 Other 5506677
Kathleen Hahn Treasurer 1 Sep 2007 Other 5506678
Stephen Mentzines Director/president 1 Oct 2007 Other 5506674
Macquarie Holdings (U.S.A.) Inc. Direct 100% owner 1 Nov 2007 75% - 100% 13-3789912
Clare Lewis Chief compliance officer 1 Mar 2008 Other 5506676
Clare Alison Lewis Chief compliance officer 1 Mar 2008 Other 5506676
Heidi Lee Mortensen Vice president 1 Sep 2008 Other 4902271
Robert Lawsky Vice president 1 Sep 2008 Other 5507469
Mark Denis Mullen Vice president 1 Jul 2009 Other 5737829
Paul Richard Sorensen Vice-president 1 Jul 2009 Other 4664039
Michael Edward Kernan Vice-president 1 Jul 2009 Other 5737497
Anna Louise Boniface Secretary 1 Jan 2010 Other 5755940
Anna Louise Boniface Assistant secretary 1 Feb 2010 Other 5755940
Amanda Wilson Reed Secretary 1 Feb 2010 Other 5764840
William Edward Dermody Chief compliance officer 1 Oct 2010 Other 5782077

Indirect Owners

The SEC currently registers 7 indirect owners.

Name Entity Date acquired Ownership Employer ID
Macquarie Equities (Us) Holdings Pty Limited Direct 100% owner 1 Mar 1994 75% - 100% 063 906 392
Macquarie Capital Group Pty. Limited Direct 100% owner 1 May 2001 75% - 100% 096 705 109
Macquarie Capital Group Limited Direct 100% owner 1 May 2001 75% - 100% 096 705 109
Macquarie Group Limited Direct 100% owner 1 Oct 2006 75% - 100% 122 169 279
Macquarie Capital International Holdings Pty Ltd. Direct 100% owner 1 Dec 2006 75% - 100% 123 199 253
Macquarie Group (Us) Holdings No.1 Pty Ltd Direct 100% owner 1 Feb 2007 75% - 100% 124 071 389
Macquarie Financial Holdings Limited Direct 100% owner 1 Feb 2007 75% - 100% 124 071 398

Based in New York

The principal office where Macquarie Capital Funds Inc. performs its advisory services is located at 125 W. 55 Th Street, New York, NY 10019, which is also the mailing address of the firm. An additional office of the firm is in Houston, TX. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-231-1000 or by fax 212-231-1828. The normal business hours are 9:00 am - 6:00 pm on Monday - Friday.