Baron Capital Management, Inc. (New York)


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.