{"url":"https://nivawealth.com/firms/coller-capital-158102","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/158102","regulatoryAum":11952891545,"crd":"158102","secFileNumber":"801-80195","legalName":"Coller Capital Inc","displayName":"Coller Capital","website":"http://www.collercapital.com","founded":null,"organization":"New York corporation","fiscalYearEnd":"March","headquarters":{"street":"950 Third Avenue","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10022"},"tradeNames":["Coller Eqt"],"registration":{"secApproved":"19 September 2014","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":67,"advisory":25,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":0,"discretionaryAccounts":0,"nonDiscretionary":11952891545,"nonDiscretionaryAccounts":33,"wrapProgram":null,"nonUsClientsPct":100,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":33,"regulatoryAum":11952891545}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Coller Capital does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Frank Ochsenfeld","title":"Chief Compliance Officer","crd":"4801877"},{"name":"Theodore BEALE","title":"Director","crd":"8123253"},{"name":"Alex Wahllof-Malinconico","title":"Director","crd":"5942318"}],"ownership":[{"label":"Coller Capital Limited","detail":"Owner in the 75% or more ownership band and a control person, since April 2003."},{"label":"Eqt Ab","detail":"Owner in the 75% or more ownership band and a control person, since September 2026."},{"label":"Cicap Limited","detail":"Indirect owner: a owner of Coller Capital Limited in the 75% or more band and a control person, since February 1995.","parent":"Coller Capital Limited"},{"label":"Jeremy Coller","detail":"Indirect owner: a owner of Cicap Limited in the 75% or more band and a control person, since October 1993.","parent":"Cicap Limited"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"950 Third Avenue","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"12126448500","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["Other"],"activities":["Other"],"financialPlanningClients":null,"assetMix":[],"privateFunds":0},"sources":{"adv1FilingDate":"18 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/158102/PDF/158102.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Coller Capital have?","answer":"Coller Capital has 33 clients and manages $12 billion for them, as of September 2026.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 18 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Coller Capital offer?","answer":"Coller Capital provides other activities.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Coller Capital have?","answer":"Coller Capital has 0 investment adviser representatives registered with state securities authorities, out of 67 employees, and 25 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Coller Capital?","answer":"Coller Capital is owned through a chain of holding companies by Jeremy Coller. Its direct owners are Coller Capital Limited (75% or more) and Eqt Ab (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 18 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Coller Capital get paid?","answer":"Coller Capital is paid through other arrangements. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}