Barclays Capital Inc. (New York)

Barclays Capital Inc. is a large advisory firm based in New York. It manages $12.75 billion of regulatory assets for 2,786 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 45 other states.

Barclays Capital provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, selection of other advisers, and asset allocation models. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Barclays Capital: assets under management

The assets under management (AUM) of Barclays Capital Inc. is $12.75 billion. The firm's AUM has grown by 160% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $11.89 billion in discretionary accounts and $857.44 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $5.82 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.16 million.

Barclays Capital has custody of $9.19 billion in cash and securities for 7,330 clients in total and acts as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Barclays Capital Inc. for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Barclays Capital Inc.

Gerard Sebastian Larocca has been acting as President since 1 Jan 2011. Kenneth Charles Abbott joined the executive team most recently as the Board Director.

Direct owners and executive officers

Indirect Owners

The SEC currently registers 2 indirect owners.

Based in New York

The principal office where Barclays Capital Inc. performs its advisory services is located at 745 7 Th Avenue, New York, NY 10019 6801, which is also the mailing address of the firm. An additional office of the firm is in Miami, FL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-526-7000 or by fax 646-834-1946. The normal business hours are 9:00am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at barclays.com.

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