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Kern Capital Management LLC (New York)


Kern Capital Management LLC is a large advisory firm based in New York. It manages $55.94 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2001.

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

Kern Capital Management: assets under management

The assets under management (AUM) of Kern Capital Management LLC is $55.94 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -97% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $55.94 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $27.97 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Kern Capital Management LLC 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.

Indirect Owners

The SEC currently registers 13 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc. Fremont Investors Shareholder 1 Dec 1986 75% - 100% 94-2675217
Stephen Davidson Bechtel Shareholder-class a shares 1 Dec 1986 75% - 100% 2230421
Jr. Stephen Davidson Bechtel Shareholder-class a shares 1 Dec 1986 50% - 75% 2230421
Robert Jaunich Shareholder-class c shares 1 Jul 1991 50% - 75% 2333922
Alan Mark Dachs Shareholder-class c shares 1 May 1993 25% - 50% 1213933
Alan Mark Dachs Shareholder-class d shares 1 Apr 1996 75% - 100% 1213933
Riley P Bechtel Shareholder-class e shares 1 Jun 1998 25% - 50% 1828414
Richard Edward Cavanagh Shareholder-class e shares 1 Jun 1998 25% - 50% 1385102
Samuel Lou Ginn Shareholder-class g shares 1 Feb 2000 75% - 100% 4371898
John Wolfgang Weiser Shareholder-class f shares 1 Apr 2000 25% - 50% 2230424
Nancy Caven Tengler Shareholder - class b shares 1 Oct 2000 50% - 75% 2491091
John Wolfgang Weiser Shareholder class f 1 Oct 2000 25% - 50% 2230424
George T. Argyris Shareholder - class f shares 1 Aug 2002 50% - 75% 4578218

Based in New York

The principal office where Kern Capital Management LLC performs its advisory services is located at 114 West 47 Th Street, New York, NY 10036 1510, 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 212-819-3200 or by fax 212-398-1280. The normal business hours are 9:00am to 5:00pm on Monday - Friday.


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