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Concept Capital Markets, LLC (Garden City)


Concept Capital Markets, LLC is a large advisory firm based in Garden City. It manages $352.16 million of regulatory assets for 306 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdictions of Arizona, California, Colorado, and 28 other states.

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Concept Capital Markets provides portfolio management for individuals and small businesses 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 also engages as commodity futures introducing broker.

Concept Capital Markets: assets under management

The assets under management (AUM) of Concept Capital Markets, LLC is $352.16 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 1119% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $352.16 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.15 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Concept Capital Markets, LLC for their services and products based on a percentage of assets under management, hourly charges, fixed fees, commissions, 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 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Llc Concept Partners Member 1 Mar 2010 75% - 100% 87-0691685
Ben Tillman Morris Co-manager (not any type of partner) 1 Mar 2010 Other 1722267
Donald Anthony Sanders Co-manager (not any type of partner) 1 Mar 2010 Other 410116
Patrick Charles Jr Boyle Co-manager (not any type of partner) 1 Jul 2011 Other 1259522
Cowen Group Inc. Ultimate parent 1 Sep 2015 75% - 100% 27-0423711

Based in Garden City

The principal office where Concept Capital Markets, LLC performs its advisory services is located at 1010 Franklin Avenue, Garden City, NY 11530 5942, which is also the mailing address of the firm. An additional office of the firm is in New York, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 516-746-5757 or by fax 516-747-6594. The normal business hours are 8:30 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at conceptcapital.com.


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