Baron Capital Management, Inc. (New York)

Name: Baron Capital Management, Inc.
Address: 767 Fifth Avenue, New York, NY, 10153 0023
Telephone: 212-583-2000

Baron Capital Management, Inc. is a large advisory firm based in New York. It manages $1.81 billion of regulatory assets for 79 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

Baron Capital Management provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, 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.

Baron Capital Management: assets under management

The assets under management (AUM) of Baron Capital Management, Inc. is $1.81 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 142% since the beginning of its operation, and $475.46 million of the total AUM is attributable to clients outside of the United States.

The firm manages $1.81 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $22.93 million each.

Baron Capital Management has custody of $43.03 million in cash and securities for 2 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 97% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 3% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Baron Capital Management, Inc. 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 Anita Marie Nagler serves?

The firm provides services to charitable organizations, high net worth individuals, pooled investment vehicles, and pension and profit sharing plans. The largest group of clients of Anita Marie Nagler is pension and profit sharing plans with 7 clients and $1.1 billion of assets under management. Among the 9 most similar advisory firms, Baron Capital Management has the highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $1.47 billion for 35 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 26% of the firm’s clients are foreign persons or businesses.

Baron Capital Management also advises several private funds. Namely, four other private funds. The minimum investment commitment required of non-related persons ranges from $100,000 to $5,000,000.

Careers at Baron Capital Management, Inc.

The company employs 163 people that are either part- or full-time employees. 23 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.

Anita Marie Nagler has been acting as President since 1 Feb 2008. Louis Barrett Beasley joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Susan Jan Robbins	Director & vice president	1 May 1982	Other	840688
Ronald Stephen Baron	Chairman, ceo & cio	1 Jun 1982	Other	13187
Linda S Martinson	Director, president & chief operating officer	1 May 1983	Other	1139436
Inc. Baron Capital Group	Shareholder	1 Nov 1984	75% - 100%	13-3246409
Peggy C Wong	Vice president, chief financial officer & treasurer	1 Jun 1987	Other	1811225
Clifford Greenberg	Director & senior vice president	1 Jan 1997	Other	2292041
Judith Baron	Shareholder	1 May 1999	25% - 50%	4393615
Andrew Joshua Peck	Senior vice president	1 Apr 2003	Other	5348729
Gretta Jane Heaney	Vice president & chief compliance officer	1 May 2004	Other	2618767
Michael R. Baron	Research analyst	1 Sep 2004	Other	4393612
Michael Baron	Research analyst	1 Sep 2004	Other	4393612
David Robert Baron	Research analyst	1 Jul 2005	Other	3245808
Christopher Vincent Dodds	Director	1 Jul 2007	Other	1596630
Patrick Michael Patalino	Vice president, general counsel & secretary	1 Aug 2007	Other	4481185
Anita Marie Nagler	Director	1 Feb 2008	Other	2503631
Lawrence J Cohn	Vice president & chief information officer	1 Mar 2008	Other	1136737
Brian Jacobs	Vice president & chief distribution officer	1 Feb 2009	Other	1240138
Kristine F Treglia	Vice president & acting chief compliance officer	1 Jul 2014	Other	6384500
Louis Barrett Beasley	Chief compliance officer	1 Sep 2014	Other	3156061

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Ronald Stephen Baron	Chairman/ceo/director/shareholder	1 Oct 1984	75% - 100%	13187

Based in New York

The principal office where Baron Capital Management, Inc. performs its advisory services is located at 767 Fifth Avenue, New York, NY 10153 0023, 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 212-583-2000. The normal business hours are mon-fri 8:30-5:30 on Monday - Friday. You can find more information about the New York firm at baronfunds.com.