Fien Capital Management provides portfolio management for individuals and small businesses and portfolio management for institutions.
Fien Capital Management reports 107 clients. They include 54 high-net-worth individuals and 53 individual clients. Of its assets, 100.0% ($138M across 109 accounts) are managed with discretion. It advised 1 client without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 50% | 13% |
| High-net-worth individuals | 50% | 82% |
| Charitable organizations | Fewer than 5 | 4% |
| Corporations and other businesses | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 53 | $18M | 13.1% | $340K |
| High-net-worth individuals | 54 | $114M | 82.5% | $2.1M |
| Charitable organizations | Fewer than 5 | $5.8M | 4.2% | — |
| Corporations and other businesses | Fewer than 5 | $317K | 0.2% | — |
| Total | 107 | $138M | 100% | — |
- Clients
- 53
- Regulatory AUM
- $18M
- AUM share
- 13.1%
- Avg. per client
- $340K
- Clients
- 54
- Regulatory AUM
- $114M
- AUM share
- 82.5%
- Avg. per client
- $2.1M
- Clients
- Fewer than 5
- Regulatory AUM
- $5.8M
- AUM share
- 4.2%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $317K
- AUM share
- 0.2%
- Avg. per client
- —
Total
- Clients
- 107
- Regulatory AUM
- $138M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 1
- Private funds advised
- 0
Fien Capital Management charges 0.75%–1.00% a year for its Basic fee schedule. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.
| Asset band | Annual rate |
|---|---|
| $0–$500K | 1.00% |
| $500K and above | 0.75% |
Fee details and sources
Mark Fien owns 75% or more of Fien Capital Management. The leadership team of Fien Capital Management includes President Mark Fien. It has 2 employees.
Leadership
- Mark FienPresident & Chief Compliance Officer
- Damian WeidmannVice President
Investment adviser representatives
2 representatives listed in the SEC register as of 9 October 2026.
Staff
- 2 employees
- 2 in advisory functions
- Owns 75% or more of Fien Capital Management, LLC
Mark Fien
Control person · since July 2001
Fien Capital Management’s regulatory assets grew from $112M (March 2021) to $138M (February 2026); clients fell from 115 to 107 and employees were 2 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| February 2026 | $138M | 107 | 2 | 1 |
| March 2025 | $125M | 106 | 2 | 1 |
| March 2024 | $118M | 112 | 2 | 1 |
| March 2023 | $111M | 113 | 2 | 1 |
| March 2022 | $114M | 112 | 2 | 1 |
| March 2021 | $112M | 115 | 2 | 1 |
Besides its headquarters, Fien Capital Management has 0 offices, with 1 listed address in New York.
New York · 1 listed address
- 110 Allens Creek Road, RochesterHQ
Contact and registration details
- Legal name
- Fien Capital Management, LLC
- Headquarters
- 110 Allens Creek Road, Rochester, NY 14618
- Website
- Not reported
- Phone
- 585-271-8910
- SEC file
- 801-60490
- Structure
- New York LLC
- Fiscal year end
- December
Fien Capital Management uses Charles Schwab ($138M) as custodian for its separately managed accounts. Fien Capital Management has custody of $101M in client assets for 53 clients.
- Charles SchwabCharles Schwab & Co., Inc. · San Franciso, CA · $138M100%
At year end, Fien Capital Management’s separately managed accounts were mostly in funds (57%) and stocks (37%).
What the accounts hold
- Stocks37%
- Funds57%
- Bonds6%
- U.S. government and agency bonds4%
- Investment grade corporate bonds1%
- High-yield corporate bonds1%
How many clients does Fien Capital Management have?
Fien Capital Management has 107 clients and manages $138 million for them, as of February 2026. They include 54 high-net-worth individuals and 53 individual clients.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 27 February 2026
What services does Fien Capital Management offer?
Fien Capital Management provides portfolio management for individuals and small businesses and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Fien Capital Management charge?
Fien Capital Management charges 0.75%–1.00% a year for its Basic fee schedule. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.
Which custodians does Fien Capital Management use?
Fien Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Franciso, CA), with $138M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 February 2026
How many financial advisors does Fien Capital Management have?
Fien Capital Management has 0 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 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
What does Fien Capital Management invest in?
At the end of its last fiscal year, Fien Capital Management’s separately managed accounts held 57% registered funds (mutual funds, ETFs, BDCs), 37% exchange-traded equities, 4% U.S. government and agency bonds, 1% investment grade corporate bonds and 1% high-yield corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Fien Capital Management?
Fien Capital Management’s direct owner is Mark Fien (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 27 February 2026
How does Fien Capital Management get paid?
Fien Capital Management is paid through a percentage of assets under management, hourly charges and fixed fees. 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
How do I contact Fien Capital Management?
Fien Capital Management’s main office is at 110 Allens Creek Road, Rochester, NY 14618. Its phone number is 585-271-8910.