R. G. NIEDERHOFFER CAPITAL MANAGEMENT INC

HTTP://WWW.NIEDERHOFFER.COM NEW YORK, NY Investment Advisor Hedge Fund How do I update this listing?

R. G. Niederhoffer Capital Management is based out of New York. R. G. Niederhoffer Capital Management is a large advisory firm with 9 clients and discretionary assets under management (AUM) of $422,620,000 (Form ADV from 2019-03-31). Their last reported 13F filing for Q3 2019 included $11,267,000 in managed 13F securities and a top 10 holdings concentration of 80.86%. R. G. Niederhoffer Capital Management's largest holding is Apple Inc with shares held of 13,600. Whalewisdom has at least 69 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $11.267 Million
  • Prior Market Value $17.185 Million
  • New Purchases9 stocks
  • Additional Purchases4 stocks
  • Sold out of19 stocks
  • Reduced holdings in5 stocks
  • Top 10 Holdings % 80.86 %
  • Turnover % [1]:155.56%
  • Turnover Alt % [2]: 106.06 %
  • Time Held Top20:0.44 quarters
  • Time Held Top10:0.20 quarters
  • Time Held All:0.94 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: -0.37%
Performance Last 4 Quarters: -5.14%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)
  • 2004-09-30 - 13F-HR (Subscription required)
  • 2004-06-30 - 13F-HR (Subscription required)
  • 2004-03-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)
  • 2003-09-30 - 13F-HR (Subscription required)
  • 2003-06-30 - 13F-HR (Subscription required)
  • 2003-03-31 - 13F-HR (Subscription required)
  • 2002-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC.
Classified as Hedge Fund
1700 BROADWAY FLOOR 39
NEW YORK NY    10019
Country: United States

Business Phone: 212-245-0400
Fax: 212-245-4030
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: DE
Number of employees: 25
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees,CERTAIN PRIV FUNDS PAY AN ADMIN FEE OR LIQUIDITY FEE AS % OF AUM
Amount of client funds and securities: 66,784,000
Total Number of Clients: 9
Amount of client funds and securities by related persons: 0
Total Number of clients from related persons: 0
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC.

ownership team - last updated 2019-03-31
Name Title Start Date Direct/Indirect % Ownership
NIEDERHOFFER, ROY PRESIDENT 05/01/1993 Direct 75% or more
Fund Name Position direct/indirect start date end date
R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC. PRESIDENT direct 1993-05-01
SHEN, PAUL HEAD TRADER 07/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC. HEAD TRADER direct 1993-07-01
GRABER, RONALD, BRUCE GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 08/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2007-08-01
R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC. GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2007-08-01
LEVITAN, ZINOVI DIRECTOR OF OPERATIONS 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC. DIRECTOR OF OPERATIONS direct 2011-03-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ROY G. NIEDERHOFFER SMART ALPHA FUND 2X, LTD Cayman Islands 805-3249686395 Hedge Fund 0 1,000,000 Feeder Fund
ROY G. NIEDERHOFFER SMART ALPHA FUND 2X (ONSHORE ) LP United States 805-2017852406 Hedge Fund 3,100,000 1,000,000 Feeder Fund
ROY G. NIEDERHOFFER DIVERSIFIED FUND (OFFSHORE), LTD. Cayman Islands 805-4194083305 Hedge Fund 43,400,000 1,000,000 Feeder Fund
ROY G. NIEDERHOFFER DIVERSIFIED MASTER FUND LTD Cayman Islands 805-5200540794 Hedge Fund 51,000,000 1,000,000 Master Fund
R. G. NIEDERHOFFER GLOBAL FUND, LP I United States 805-3406354727 Hedge Fund 5,200,000 1,000,000 Feeder Fund
ROY G. NIEDERHOFFER SMART ALPHA MASTER FUND LTD. Cayman Islands 805-8876425556 Hedge Fund 3,100,000 1,000,000 Master Fund

R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC.

ownership team - last updated 2018-04-01
Name Title Start Date Direct/Indirect % Ownership
NIEDERHOFFER, ROY PRESIDENT 05/01/1993 Direct 75% or more
Fund Name Position direct/indirect start date end date
R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC. PRESIDENT direct 1993-05-01
SHEN, PAUL HEAD TRADER 07/01/1993 Direct less than 5%
Fund Name Position direct/indirect start date end date
R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC. HEAD TRADER direct 1993-07-01
GRABER, RONALD, BRUCE GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 08/01/2007 Direct less than 5%
Fund Name Position direct/indirect start date end date
R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER direct 2007-08-01
R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC. GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2007-08-01
LEVITAN, ZINOVI DIRECTOR OF OPERATIONS 03/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC. DIRECTOR OF OPERATIONS direct 2011-03-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
R. G. NIEDERHOFFER GLOBAL FUND, LP I United States 805-3406354727 Hedge Fund 6,700,000 1,000,000 Feeder Fund
ROY G. NIEDERHOFFER DIVERSIFIED FUND (OFFSHORE), LTD. Cayman Islands 805-4194083305 Hedge Fund 40,200,000 1,000,000 Feeder Fund
ROY G. NIEDERHOFFER IHEDGE INFLATION PROTECTION MASTER FUND LTD. Cayman Islands 805-3134187444 Hedge Fund 55,000 1,000,000 Master Fund
ROY G. NIEDERHOFFER TOTAL RETURN FUND (ONSHORE) L.P. United States 805-8233718488 Hedge Fund 30,000 1,000,000
ROY G. NIEDERHOFFER DIVERSIFIED MASTER FUND LTD Cayman Islands 805-5200540794 Hedge Fund 47,100,000 1,000,000 Master Fund
ROY G. NIEDERHOFFER IHEDGE INFLATION PROTECTION FUND (ONSHORE) L.P. United States 805-9951643126 Hedge Fund 0 1,000,000 Feeder Fund
ROY G. NIEDERHOFFER IHEDGE INFLATION PROTECTION FUND, LTD. Cayman Islands 805-9454337339 Hedge Fund 25,000 1,000,000 Feeder Fund

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