Asset manager · New York, NY
Haussmann 1864 Capital Management LLC
SEC-registered investment adviser · CRD 332278 · SEC 801-131129
At a glance
Haussmann 1864 Capital Management LLC is an SEC-registered investment adviser based in New York, New York, with $4.6 billion in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is banking or thrift institutions. By Form ADV it is a asset manager, ranked 718th of 3,218 asset managers and 2,218th of 17,210 SEC-registered advisers by assets.
Main office 212-278-60001864cap.comAs filed on Form ADV
- Regulatory AUM
- $4.6B
- Rank among asset managers
- #718 of 3,218
- Rank among all SEC RIAs
- #2,218 of 17,210
- Rank in New York
- #565 of 2,591
- Clients
- 12
- Accounts
- 12
- Discretionary
- 18% of AUM
- Employees
- 5
- Advisory staff
- 4
- Offices
- 1
Owners and executives on its Form ADV
- Joseph FalconeChief Executive Officer
- Christopher William RuffinoChief Financial Officer
- Marc M. CacchioliChief Operating Officer
- George TalaricoChief Compliance Officer
- Jean-Yves FillionDirector
- Gregory W. MaccordyDirector
Custody and brokerage
Broker-dealer
Affiliated broker-dealer
It names affiliated broker-dealers: Bernstein Institutional Services LLC, SG Americas Securities, LLC and Societe Generale S.A..
- Bernstein Institutional Services LLC ↗CRD 317807
- SG Americas Securities, LLC ↗CRD 128351
- Societe Generale S.A.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Banking or thrift institutions | 3 | $2.9B | 63% |
| Pooled investment vehicles | 1 | $845M | 18% |
| Insurance companies | 7 | $502M | 11% |
| Corporations or other businesses | 1 | $371M | 8% |
Private funds
Haussmann 1864 Capital Management LLC reports 1 private funds with $845M in gross assets: securitized asset funds (Form ADV Item 7.B).
Disciplinary disclosures
Haussmann 1864 Capital Management LLC answers yes to 39 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
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗1864cap.com ↗
AtlasMembers
The full record on Haussmann 1864 Capital Management LLC
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, 2 years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 712 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Haussmann 1864 Capital Management LLC manage?
Haussmann 1864 Capital Management LLC reports $4.6 billion in regulatory assets under management across 12 accounts, 18% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Haussmann 1864 Capital Management LLC?
Haussmann 1864 Capital Management LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals. It reports a bank or thrift among its related persons.
Who are Haussmann 1864 Capital Management LLC’s clients?
By assets, its largest client types are banking or thrift institutions ($2.9 billion, 3 clients); pooled investment vehicles ($845 million, 1 clients); insurance companies ($502 million, 7 clients).
Does Haussmann 1864 Capital Management LLC manage private funds?
Yes. It reports 1 private funds with $845 million in gross assets, including securitized asset funds.
Does Haussmann 1864 Capital Management LLC have any disciplinary history?
Haussmann 1864 Capital Management LLC answers yes to 39 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 Haussmann 1864 Capital Management LLC’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 (2026-03-31), 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 →