Private fund adviser · New York, NY
Epoch Capital, US
Epoch Capital, US, LLC · SEC-registered investment adviser · CRD 315254 · SEC 801-121742
At a glance
Epoch Capital, US is an SEC-registered investment adviser based in New York, New York, with $979 million in regulatory assets under management as of its Form ADV filed September 28, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 2,327th of 4,686 private fund advisers and 5,447th of 17,210 SEC-registered advisers by assets.
Main office 347-754-4874LinkedInAs filed on Form ADV
- Regulatory AUM
- $979M
- Rank among private fund advisers
- #2,327 of 4,686
- Rank among all SEC RIAs
- #5,447 of 17,210
- Rank in New York
- #1,158 of 2,591
- Clients
- 7
- Accounts
- 7
- Discretionary
- 100% of AUM
- Employees
- 12
- Advisory staff
- 6
- Offices
- 1
Owners and executives on its Form ADV
- Michael J. HumphreysPresident
- Ian A. McDonaldCIO
- Tom DaviesChief Compliance Officer
- Stuart L HirschmanFinance Director
Custody and brokerage
Custodian
Epoch Capital, US’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 7 | $979M | 100% |
Private funds
Epoch Capital, US reports 2 private funds with $899M in gross assets: hedge funds (Form ADV Item 7.B).
Disciplinary disclosures
Epoch Capital, US answers yes to 2 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for pooled investment vehicles
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on Epoch Capital, US
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 4 years of filings
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- Growth over one, three and five years
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- Rank against 2,182 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Epoch Capital, US manage?
Epoch Capital, US reports $979 million in regulatory assets under management across 7 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 28, 2026.
What kind of firm is Epoch Capital, US?
Epoch Capital, US is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
Who are Epoch Capital, US’s clients?
By assets, its largest client types are pooled investment vehicles ($979 million, 7 clients).
Does Epoch Capital, US manage private funds?
Yes. It reports 2 private funds with $899 million in gross assets, including hedge funds.
Does Epoch Capital, US have any disciplinary history?
Epoch Capital, US answers yes to 2 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Epoch Capital, US’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-28), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →