{
  "crd_number": 137788,
  "slug": "r-g-niederhoffer-capital-management-inc-sunny-isles-beach-fl-137788",
  "primary_business_name": "R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC.",
  "legal_name": "R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC.",
  "dbas": [],
  "city": "Sunny Isles Beach",
  "state": "FL",
  "country": "United States",
  "cbsa_code": "33100",
  "metro": {
    "cbsa_code": "33100",
    "common_name": "Miami",
    "msa_name": "Miami-Fort Lauderdale-West Palm Beach, FL",
    "path": "/advisors/fl/miami"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2006-01-27",
  "years_registered": 20,
  "period": "2026-10-01",
  "filing_date": "2026-03-31",
  "carried_forward": false,
  "raum_total": 33600000.0,
  "raum_discretionary": 33600000.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "25m_100m",
  "raum_band_label": "$25 million to $100 million",
  "total_employees": 24,
  "advisory_employees": 12,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 0.0,
      "count": 0
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 4
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 0.0,
      "count": 0
    },
    "pooled_investment_vehicles": {
      "raum": 33600000.0,
      "count": 6
    },
    "corporations_other_businesses": {
      "raum": 0.0,
      "count": null,
      "fewer_than_5": true
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "other",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "other",
    "portfolio_management_businesses_institutional",
    "portfolio_management_investment_companies",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "FL"
  ],
  "websites": [
    "https://niederhoffer.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/137788",
  "city_as_filed": "SUNNY ISLES BEACH",
  "url": "https://advisorcensus.com/firm/r-g-niederhoffer-capital-management-inc-sunny-isles-beach-fl-137788",
  "display_name": "R.G. Niederhoffer Capital Management, Inc.",
  "summary": "R.G. Niederhoffer Capital Management, Inc. is an SEC-registered investment advisory firm in Sunny Isles Beach, FL, registered since 2006, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.",
  "citation": "AdvisorCensus. R.G. Niederhoffer Capital Management, Inc. (CRD 137788): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Performance-based fees",
    "Other"
  ],
  "advisory_activity_labels": [
    "Portfolio management for investment companies (and business development companies)",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is R.G. Niederhoffer Capital Management, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), R.G. Niederhoffer Capital Management, Inc. reports these compensation arrangements: a percentage of assets under its management; performance-based fees; other. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is R.G. Niederhoffer Capital Management, Inc. located?",
      "a": "R.G. Niederhoffer Capital Management, Inc.'s principal office is in Sunny Isles Beach, FL, according to its Form ADV."
    },
    {
      "q": "Is R.G. Niederhoffer Capital Management, Inc. registered with the SEC or a state?",
      "a": "R.G. Niederhoffer Capital Management, Inc. is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 137788."
    },
    {
      "q": "How much does R.G. Niederhoffer Capital Management, Inc. manage?",
      "a": "R.G. Niederhoffer Capital Management, Inc. reports $33,600,000 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary)."
    },
    {
      "q": "How have R.G. Niederhoffer Capital Management, Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for R.G. Niederhoffer Capital Management, Inc.: Regulatory assets under management: $51,100,000 in the October 2021 data and $33,600,000 in the October 2026 data, down 34%. Total employees: 20 in October 2021 and 24 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does R.G. Niederhoffer Capital Management, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (6); investment companies (4)."
    },
    {
      "q": "Does R.G. Niederhoffer Capital Management, Inc. report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/137788"
    },
    {
      "q": "What changed in R.G. Niederhoffer Capital Management, Inc.'s recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 10 to 12. Regulatory assets under management went from $48,000,000 to $33,600,000 (-30%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 51100000.0,
      "total_employees": 20,
      "filing_date": "2021-04-01"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 52500000.0,
      "total_employees": 20,
      "filing_date": "2022-03-31"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 64200000.0,
      "total_employees": 20,
      "filing_date": "2023-03-31"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 36467000.0,
      "total_employees": 20,
      "filing_date": "2024-05-22"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 48000000.0,
      "total_employees": 23,
      "filing_date": "2025-04-01"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 33600000.0,
      "total_employees": 24,
      "filing_date": "2026-03-31"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 10 to 12.",
        "Regulatory assets under management went from $48,000,000 to $33,600,000 (-30%)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/r-g-niederhoffer-capital-management-inc-sunny-isles-beach-fl-137788.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 4,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 6,
      "fewer_than_5": false,
      "raum": 33600000.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": null,
      "fewer_than_5": true,
      "raum": 0.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/137788",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}