RAND CAPITAL MANAGEMENT

RIASEC RegisteredEst. 2019
Total AUM
$137M
Discretionary
$137M
100% of AUM
Avg account
$34.2M
Accounts
4
Employees
10
Advisory reps
4

Firm details

Headquarters
BUFFALO, New York
CRD number
304504
Registered since
July 17, 2019
Fee structure
Percentage of AUM, Other
Client types
  • Pooled Investment Vehicles55.44%
  • Business Development Companies38.91%
  • Investment Companies5.65%
Services
Portfolio Management for Investment CompaniesPortfolio Management for Pooled Investment Vehicles

Firm profile

FINTRX

Overview

Rand Capital Management is an SEC-registered limited liability company that operates as a private equity fund manager and adviser to pooled investment vehicles and investment companies. The firm performs commodity pool/commodity trading advisor functions (CPO/CTA) in addition to portfolio management responsibilities. Its client base is institutional, and its fee arrangements include percentage-of-AUM schedules alongside other, unspecified fee structures. The firm does not identify as an active ESG investor and is not structured as a multi-state adviser. Rand Capital Management reports affiliations across a range of service roles, including broker-dealer relationships, trust company and real estate broker activity, and roles as sponsor or general partner of pooled investment vehicles. The firm appears focused on private-market strategies rather than serving as a third-party capital allocator.

Assets & Accounts

Investments & Alternatives

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Owners & executives

1 of 1
  • KRISTEN CAMMARATA

    Chief Compliance OfficerCRD 5712807

Contacts

3 of 3
  • Daniel Penberthy

    PresidentCRD 7134441

  • OLIVER BARFIELD

    ManagerCRD 3177572

  • Brechtel Margaret

    Executive Vice PresidentCRD 7482608

Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

BUFFALO, NY

ERIE

Location

BUFFALO, NY

Headquartered in BUFFALO, NY, anchoring the Buffalo-Cheektowaga-Olean, NY metro in the Northeast.

Metro area
Buffalo-Cheektowaga-Olean, NY
Region
Northeast
County
ERIE
Address
14 Lafayette Sq
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth