# R.G. Niederhoffer Capital Management, Inc.

> 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.

- CRD: 137788
- Filed as: R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Sunny Isles Beach, FL
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/137788
- AdvisorCensus page: https://advisorcensus.com/firm/r-g-niederhoffer-capital-management-inc-sunny-isles-beach-fl-137788

## Quick answers

**How is R.G. Niederhoffer Capital Management, Inc. compensated?**
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.

**Where is R.G. Niederhoffer Capital Management, Inc. located?**
R.G. Niederhoffer Capital Management, Inc.'s principal office is in Sunny Isles Beach, FL, according to its Form ADV.

**Is R.G. Niederhoffer Capital Management, Inc. registered with the SEC or a state?**
R.G. Niederhoffer Capital Management, Inc. is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 137788.

**How much does R.G. Niederhoffer Capital Management, Inc. manage?**
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).

**How have R.G. Niederhoffer Capital Management, Inc.'s assets and staff changed since 2021?**
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.

**What types of clients does R.G. Niederhoffer Capital Management, Inc. serve?**
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).

**Does R.G. Niederhoffer Capital Management, Inc. report any disciplinary disclosures?**
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

**What changed in R.G. Niederhoffer Capital Management, Inc.'s recent Form ADV filings?**
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%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees
- Other

### Regulatory assets under management (Item 5.F)
- Total: $33,600,000
- Discretionary: $33,600,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 0 | $0 |
| High net worth individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 4 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 6 | $33,600,000 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | Fewer than 5 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- 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

### Firm details
- Registered since: 2006 (20 years)
- Employees: 24 total, 12 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- niederhoffer.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $51,100,000 | 20 | April 1, 2021 |
| October 2022 | $52,500,000 | 20 | March 31, 2022 |
| October 2023 | $64,200,000 | 20 | March 31, 2023 |
| October 2024 | $36,467,000 | 20 | May 22, 2024 |
| October 2025 | $48,000,000 | 23 | April 1, 2025 |
| October 2026 | $33,600,000 | 24 | March 31, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 10 to 12.
- Regulatory assets under management went from $48,000,000 to $33,600,000 (-30%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. R.G. Niederhoffer Capital Management, Inc. (CRD 137788): Form ADV filing data as of October 2026.