Victoria Capital Management, Inc. (Charleston)

Name: Victoria Capital Management, Inc.
Address: 211 King Street, Charleston, SC, 29401
Telephone: 843-342-3044

Victoria Capital Management, Inc. is a large advisory firm based in Charleston. It manages $142.71 million of regulatory assets for 139 client accounts. It has been registered with the SEC as an adviser since 2018 and has operated in the jurisdictions of California, Florida, Georgia, and South Carolina.

Victoria Capital Management provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Victoria Capital Management: assets under management

The assets under management (AUM) of Victoria Capital Management, Inc. is $142.71 million. The firm's AUM has grown by 12% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $42.25 million in discretionary accounts and $100.46 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $346.32 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $5.91 million.

Investments

The firm invests in exchange traded securities the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Victoria Capital Management, Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Diane Victoria Nugent serves?

The firm provides services to individuals, other investment advisers, and high net worth individuals. The largest group of clients of Diane Victoria Nugent is other investment advisers with 4 clients and $100.46 million of assets under management. Among the 10 most similar advisory firms, Victoria Capital Management has the highest percentage of other investment advisers out of all clients.

The amount of regulatory assets under management is $142.71 million for 72 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Victoria Capital Management doesn't advise any private funds.

Careers at Victoria Capital Management, Inc.

The company employs 4 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. 4 employees are registered as investment adviser representatives with the state securities authorities.

There are 6 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Diane Victoria Nugent has been acting as President since 1 Oct 2000. Thomas Eugene Nugent joined the executive team most recently as the Cco.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Diane Victoria Nugent	President	1 Oct 2000	50% - 75%	2280108
Thomas Eugene Nugent	Cco	1 Oct 2000	25% - 50%	1043494

Based in Charleston

The principal office where Victoria Capital Management, Inc. performs its advisory services is located at 211 King Street, Charleston, SC 29401, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 843-342-3044 or by fax 843-342-3244. The normal business hours are 9:00am to 5:00pm on Monday - Friday. You can find more information about the New York firm at vcm.us.com.