R.G. Niederhoffer Capital Management, Inc.
- Regulatory AUM
- $33.6M
- Discretionary
- $33.6M
- Clients
- 10
- Avg AUM / client
- $3.4M
- Accounts
- 6
- Employees
- 24
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 4 | $0 | — |
| Pooled investment vehicles (non-investment companies) | 6 | $33.6M | 100.0% |
| Corporations and other businesses | Fewer than 5 clients | $0 | — |
Private funds (7)
Reported in Form ADV Section 7.B.(1), filing of May 2024 · $57.1M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Kls Niederhoffer Smart Alpha Ucits Fund | Hedge Fund | Ireland | $23.0M | 10 |
| R. G. Niederhoffer Macro Diversified Master Fund Ltd. master | Hedge Fund | Cayman Islands | $8.8M | 12 |
| Roy G. Niederhoffer Smart Alpha Master Fund Ltd. master | Hedge Fund | Cayman Islands | $7.6M | 8 |
| R. G. Niederhoffer Macro Diversified Fund Ltd. feeder | Hedge Fund | Cayman Islands | $5.4M | 6 |
| R. G. Niederhoffer Macro Diversified Lp feeder | Hedge Fund | Delaware | $4.7M | 6 |
| Roy G. Niederhoffer Smart Alpha Fund 2 X, Ltd feeder | Hedge Fund | Cayman Islands | $4.1M | 2 |
| Roy G. Niederhoffer Smart Alpha Fund 2 X (Onshore ) Lp feeder | Hedge Fund | Delaware | $3.5M | 5 |
People (4)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Niederhoffer, Roy | President | May 1993 (33y) | 75% or more | |
| Shen, Paul | Head Trader | Jul 1993 (33y) | Less than 5% | |
| Graber, Ronald, Bruce | General Counsel And Chief Compliance Officer | Aug 2007 (19y) | Less than 5% | |
| Levitan, Zinovi | Director Of Operations | Mar 2011 (15y) | Less than 5% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (7, $57.1M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Kls Niederhoffer Smart Alpha Ucits Fund | Hedge Fund | $23.0M | $100K | 10 |
| R. G. Niederhoffer Macro Diversified Master Fund Ltd. | Hedge Fund | $8.8M | $250K | 12 |
| Roy G. Niederhoffer Smart Alpha Master Fund Ltd. | Hedge Fund | $7.6M | $1.0M | 8 |
| R. G. Niederhoffer Macro Diversified Fund Ltd. | Hedge Fund | $5.4M | $250K | 6 |
| R. G. Niederhoffer Macro Diversified Lp | Hedge Fund | $4.7M | $250K | 6 |
| Roy G. Niederhoffer Smart Alpha Fund 2 X, Ltd | Hedge Fund | $4.1M | $1.0M | 2 |
| Roy G. Niederhoffer Smart Alpha Fund 2 X (Onshore ) Lp | Hedge Fund | $3.5M | $1.0M | 5 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 2.22 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
- • Other fees
- • CERTAIN PRIV FUNDS PAY A LIQUIDITY FEE AS % OF AUM
Services
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- Goldman Sachs $27.2M (5% of AUM) Apr 2018
- Credit Suisse Securities (Usa) Llc $17.8M (4% of AUM) Mar 2019
- Sg Americas Securities, Llc $11.6M (3% of AUM) Mar 2019
- UBS $6.9M (2% of AUM) Mar 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗