{"url":"https://nivawealth.com/firms/volofin-capital-management-us-309922","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/309922","regulatoryAum":1006060520,"crd":"309922","history":[{"filedOn":"2021-06-30","regulatoryAum":282882306,"clients":1,"employees":17,"offices":2},{"filedOn":"2022-03-29","regulatoryAum":322503415,"clients":1,"employees":21,"offices":2},{"filedOn":"2023-03-30","regulatoryAum":582419945,"clients":1,"employees":20,"offices":3},{"filedOn":"2024-03-19","regulatoryAum":614700000,"clients":1,"employees":20,"offices":3},{"filedOn":"2025-03-31","regulatoryAum":889880766,"clients":2,"employees":3,"offices":3},{"filedOn":"2026-03-31","regulatoryAum":1006060520,"clients":2,"employees":9,"offices":3}],"secFileNumber":"801-119846","legalName":"Volofin Capital Management (US) LLC","displayName":"Volofin Capital Management (US)","slug":"volofin-capital-management-us-309922","website":"https://volofin.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/309922/e4082f627b4e7f89-r1.webp","tone":"light","width":434,"height":200,"sourceUrl":"https://www.volofin.com/","sourceLabel":"Volofin Capital Management, website"},"classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"linkedinUrl":"https://www.linkedin.com/company/volofin-capital-management/","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"900 Island Park DR, Suite #150","city":"Daniel Island","state":"SC","stateName":"South Carolina","country":"United States","postalCode":"29492"},"tradeNames":[],"registration":{"secApproved":"23 November 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":9,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":1006060520,"discretionary":0,"discretionaryAccounts":0,"nonDiscretionary":1006060520,"nonDiscretionaryAccounts":2,"wrapProgram":null,"nonUsClientsPct":50,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":1,"regulatoryAum":308957000},{"label":"Insurance companies","clients":1,"fewerThan5":true,"regulatoryAum":697103520}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Volofin Capital Management (US) does not have custody of client assets.","leadership":[{"name":"Joseph Peart","title":"Chief Executive Officer","crd":"7282024"},{"name":"Gary Eakins","title":"Chief Compliance Officer","crd":"7282018"}],"ownership":[{"label":"Volofin Capital Management Group LP","detail":"Sole managing member in the 75% or more ownership band and a control person, since December 2018."},{"label":"Volofin LLC","detail":"Indirect owner: general partner of Volofin Capital Management Group LP and a control person, since December 2018.","parent":"Volofin Capital Management Group LP"},{"label":"Joseph Peart","detail":"Indirect owner: a sole managing member of Volofin LLC in the 75% or more band and a control person, since December 2018.","parent":"Volofin LLC"}],"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":3,"foreignOffices":[{"city":"LONDON","country":"United Kingdom","postalCode":"EC3V 3QQ","street":"THE UNION BUILDING","display":{"city":"LONDON","region":null,"postalCode":"EC3V 3QQ","ruleVersion":"office-display-1"}}],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"750 Lexington Ave","city":"New York"}]},{"state":"South Carolina","offices":1,"addresses":[{"street":"900 Island Park DR, Suite #150","city":"Daniel Island","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"646-866-6997","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Other"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":33},{"label":"Other","percent":66,"detail":"Certain Aviation Loans and Securities, Including Certain Aircraft Asset-Backed Securities, Enhanced Equipment Trust Certificates, Senior Loans, Senior Notes and Term A and Term B Loans Offered in the Capital Markets."}],"privateFunds":1},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/309922/PDF/309922.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Volofin Capital Management (US) have?","answer":"Volofin Capital Management (US) has 2 clients and manages $1.01 billion for them, as of March 2026. They include 1 pooled investment vehicle and 1 insurance company.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Volofin Capital Management (US) offer?","answer":"Volofin Capital Management (US) provides portfolio management for pooled vehicles and portfolio management for institutions.","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 Volofin Capital Management (US) have?","answer":"Volofin Capital Management (US) has 0 investment adviser representatives registered with state securities authorities, out of 9 employees, and 4 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":"What does Volofin Capital Management (US) invest in?","answer":"At the end of its last fiscal year, Volofin Capital Management (US)’s separately managed accounts held 66% other and 33% pooled vehicles (private funds and similar). The 66% other category is described as: Certain Aviation Loans and Securities, Including Certain Aircraft Asset-Backed Securities, Enhanced Equipment Trust Certificates, Senior Loans, Senior Notes and Term A and Term B Loans Offered in the Capital Markets. It advises 1 private fund.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Volofin Capital Management (US)?","answer":"Volofin Capital Management (US) is owned through a chain of holding companies by Joseph Peart. Its direct owner is Volofin Capital Management Group LP (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Volofin Capital Management (US) get paid?","answer":"Volofin Capital Management (US) is paid through a percentage of assets under management and other compensation. 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"}},{"question":"Is Volofin Capital Management (US) registered with the SEC?","answer":"Yes, Volofin Capital Management (US) has been registered with the SEC as an investment adviser since 23 November 2020. Its CRD number is 309922 and its SEC file number is 801-119846.","source":"Form ADV Part 1A, Item 1, filed 31 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Volofin Capital Management (US)?","answer":"Volofin Capital Management (US)’s main office is at 900 Island Park DR, Suite #150, Daniel Island, SC 29492. Its phone number is 646-866-6997. Its website is volofin.com.","source":"Form ADV Part 1A, Item 1.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"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 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."}