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Firm Trust Report

R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC.

Reported as registeredReported as registered

The firm's Form ADV/IARD record in the cited SEC dataset reports it as a registered investment adviser as of the source date shown. That is not SEC approval, certification, endorsement, or a finding that the firm is safe or trustworthy.

CRD
137788
SEC file number
801-65629
Principal office
16690 COLLINS AVENUE
SUITE #801
SUNNY ISLES BEACH, FL, 33160
Current as of
August 3, 2026
Retrieved
August 18, 2026
Source effective date
August 3, 2026

SEC/IARD source release: August 3, 2026 · InvestorTrustHub retrieved: August 18, 2026

Official identifiers

Identifiers come from the cited SEC/IARD firm roster. InvestorTrustHub does not invent missing numbers.

  • CRD

    137788

  • SEC number

    801-65629

Regulatory status

Reported

Reported as registered

The firm's Form ADV/IARD record in the cited SEC dataset reports it as a registered investment adviser as of the source date shown. That is not SEC approval, certification, endorsement, or a finding that the firm is safe or trustworthy.

A source reports this value. We have not independently confirmed it beyond the cited record.

Source

Reported

U.S. Securities and Exchange Commission / IARD Form ADV dataset.

Registered Investment Advisers (IARD firm roster)

View official IAPD search (opens official source)

A source reports this value. We have not independently confirmed it beyond the cited record.

Firm / ADV facts

Legal structure

Corporation

Website as reported

HTTP://WWW.NIEDERHOFFER.COM

Regulatory assets under management

$33.6 million

Exact source amount: $33,600,000.00

Regulatory assets under management is a Form ADV regulatory measure and should not be interpreted as investment performance, firm quality, popularity, or an endorsement.

Regulatory disclosures

Firm reported No for Item 11 in this filing.

This is the Form ADV Item 11 checkbox as filed. It is not a disciplinary-event list and not a finding of a clean record.

Clients, compensation, and custody

Figures below are adviser-reported Form ADV items. They are not performance, popularity, or quality scores.

Reported scale

Reported

Employees as reported: 24

Advisory personnel as reported: 12

Clients as reported: 10

As of March 31, 2026

A source reports this value. We have not independently confirmed it beyond the cited record.

Reported compensation methods

Reported
  • Other
  • Percentage of assets under management
  • Performance-based fees

Compensation methods are the boxes the adviser checked on Form ADV. This is not a “fee-only” determination.

A source reports this value. We have not independently confirmed it beyond the cited record.

Reported custody

Reported

Client cash: Yes as reported

Client securities: Yes as reported

Related-person cash: No as reported

Related-person securities: No as reported

Custody is reported as filed. It is not a risk score or a quality finding.

A source reports this value. We have not independently confirmed it beyond the cited record.

Other business activities (Item 6)

Reported
  • Commodity pool operator / commodity trading advisor

A source reports this value. We have not independently confirmed it beyond the cited record.

Current reported relationships

Names appear only as reported on this firm’s Form ADV. They are not standalone public profiles. Name-only or otherwise unconfirmed rows remain internal and are not shown.

Ownership and control

Schedule A is direct ownership. Schedule B is indirect ownership. An executive/control relationship is not the same as ownership.

  • Reported direct owner

    GRABER, RONALD, BRUCE

    Individual as reported · Title/status as reported: GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER

    Reported in Form ADV dated March 31, 2026 · Registered investment adviser filing

  • Reported direct owner

    LEVITAN, ZINOVI

    Individual as reported · Title/status as reported: DIRECTOR OF OPERATIONS

    Reported in Form ADV dated March 31, 2026 · Registered investment adviser filing

  • Reported direct owner

    NIEDERHOFFER, ROY

    Individual as reported · Ownership range: 50% but less than 75% · Title/status as reported: PRESIDENT

    Reported in Form ADV dated March 31, 2026 · Registered investment adviser filing

  • Reported direct owner

    SHEN, PAUL

    Individual as reported · Title/status as reported: HEAD TRADER

    Reported in Form ADV dated March 31, 2026 · Registered investment adviser filing

  • Reported executive/control relationship

    GRABER, RONALD, BRUCE

    Individual as reported · Title/status as reported: GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER

    Reported in Form ADV dated March 31, 2026 · Registered investment adviser filing

  • Reported executive/control relationship

    LEVITAN, ZINOVI

    Individual as reported · Title/status as reported: DIRECTOR OF OPERATIONS

    Reported in Form ADV dated March 31, 2026 · Registered investment adviser filing

  • Reported executive/control relationship

    NIEDERHOFFER, ROY

    Individual as reported · Title/status as reported: PRESIDENT

    Reported in Form ADV dated March 31, 2026 · Registered investment adviser filing

  • Reported executive/control relationship

    SHEN, PAUL

    Individual as reported · Title/status as reported: HEAD TRADER

    Reported in Form ADV dated March 31, 2026 · Registered investment adviser filing

Related organizations

No current CRD-linked related organizations are available to display from Form ADV.

Private funds reported by the adviser

Named funds appear only on this adviser profile. InvestorTrustHub does not publish standalone fund pages from this graph.

Item 7.B private-fund count as reported (not a named-fund list) · Item 7.B: Yes as reported · Count 7.B.(1): 6 · Gross assets as reported: 72,800,000

  • Private fund reported by the adviser

    R. G. NIEDERHOFFER MACRO DIVERSIFIED FUND LTD.

    805-8279664094

    Cayman Islands · Reported in Form ADV dated March 31, 2026

  • Private fund reported by the adviser

    R. G. NIEDERHOFFER MACRO DIVERSIFIED LP

    805-8243947120

    Delaware, United States · Reported in Form ADV dated March 31, 2026

  • Private fund reported by the adviser

    R. G. NIEDERHOFFER MACRO DIVERSIFIED MASTER FUND LTD.

    805-2998384744

    Cayman Islands · Reported in Form ADV dated March 31, 2026

  • Private fund reported by the adviser

    ROY G. NIEDERHOFFER SMART ALPHA FUND 2X (ONSHORE ) LP

    805-2017852406

    Delaware, United States · Reported in Form ADV dated March 31, 2026

  • Private fund reported by the adviser

    ROY G. NIEDERHOFFER SMART ALPHA FUND 2X, LTD

    805-3249686395

    Cayman Islands · Reported in Form ADV dated March 31, 2026

  • Private fund reported by the adviser

    ROY G. NIEDERHOFFER SMART ALPHA MASTER FUND LTD.

    805-8876425556

    Cayman Islands · Reported in Form ADV dated March 31, 2026

Fund service providers

Only current provider rows with sufficient identity quality are shown. Name-only rows remain internal.

  • Custodian reported for a private fund

    ADM INVESTOR SERVICES, INC.

    Reported in Form ADV dated March 31, 2026

  • Custodian reported for a private fund

    HARRIS N.A.

    Reported in Form ADV dated March 31, 2026

  • Custodian reported for a private fund

    MAREX CAPITAL MARKETS INC.

    Reported in Form ADV dated March 31, 2026

  • Prime broker reported for a private fund

    MAREX CAPITAL MARKETS INC.

    CRD 161014 · Reported in Form ADV dated March 31, 2026

  • Prime broker reported for a private fund

    STONEX FINANCIAL INC.

    CRD 45993 · Reported in Form ADV dated March 31, 2026

Filing history / historical reported relationships

Historical filings are evidence of what was filed, not a restatement of current facts.

Filings in graph

17

RIA 17 · ERA 0

Latest relational filing

March 31, 2026

Registered investment adviser · Annual Updating Amendment for Registered Adviser

ADV-W filings

0

Shown as historical evidence only

Recent sec form adv filings
  • 2086666 · March 31, 2026 · RIA · Annual Updating Amendment for Registered Adviser · current reported filing
  • 1861474 · May 22, 2024 · RIA · Annual Updating Amendment for Registered Adviser · historical filing
  • 1745068 · March 31, 2023 · RIA · Annual Updating Amendment for Registered Adviser · historical filing
  • 1635180 · March 31, 2022 · RIA · Annual Updating Amendment for Registered Adviser · historical filing
  • 1526016 · April 1, 2021 · RIA · Annual Updating Amendment for Registered Adviser · historical filing
  • 1477084 · January 19, 2021 · RIA · Annual Updating Amendment for Registered Adviser · historical filing
  • 1302685 · March 31, 2019 · RIA · Annual Updating Amendment for Registered Adviser · historical filing
  • 1202104 · April 1, 2018 · RIA · Annual Updating Amendment for Registered Adviser · historical filing
  • 1143628 · September 29, 2017 · RIA · Other-Than Anual Amendment For Registered Adviser · historical filing
  • 1097113 · March 31, 2017 · RIA · Annual Updating Amendment for Registered Adviser · historical filing
  • 1049192 · November 29, 2016 · RIA · Other-Than Anual Amendment For Registered Adviser · historical filing
  • 1005304 · April 11, 2016 · RIA · Annual Updating Amendment for Registered Adviser · historical filing

Sources and methodology

Evidence and source details

Material facts on this page are traced to the official SEC/IARD roster. Expand a panel to see source context. Raw 400-column filings are not dumped here.

Source, dataset, and retrieval

Source. U.S. Securities and Exchange Commission / IARD · Registered Investment Advisers (IARD firm roster) · record 137788 · retrieved August 18, 2026

Release: August 3, 2026

Evidence records tied to this firm: 7

Raw source snapshot: present

Source status text (not a consumer endorsement): Approved

What these terms mean

What is an RIA?

A registered investment adviser is a firm whose Form ADV/IARD record reports it as registered with the SEC or, in other contexts, a state. InvestorTrustHub shows what the cited official dataset reports. Registration is a regulatory category, not a quality rating.

What is an Exempt Reporting Adviser?

An Exempt Reporting Adviser files a limited Form ADV report because it qualifies for an exemption from full SEC registration. It is not a registered investment adviser. Exemption from full registration is not a finding of safety, quality, or honesty.

What is a CRD number?

A CRD number is the Central Registration Depository identifier assigned to a firm or individual in the IARD/CRD system. InvestorTrustHub uses the firm CRD as the stable identity key. A CRD is an identifier, not an endorsement.

What is an SEC file number?

An SEC file number (often beginning 801- for registered advisers or 802- for exempt reporting advisers) is an official file identifier in SEC/IARD records. If this source record does not include one, that absence is not proof that no file number exists in another source.

What does “reported as registered” mean?

It means the cited official dataset reports the firm as a registered investment adviser as of the source date. It does not mean InvestorTrustHub or the SEC approved, certified, or recommended the firm.

What does it NOT mean?

Registration does not establish investment quality, performance, honesty, suitability, low risk, fiduciary compliance in every circumstance, or the absence of regulatory problems. Missing research is not a clean record.

What InvestorTrustHub has not researched yet

Absence from this page is not a finding that a record is clean, that no disclosure exists, or that the firm has no associated professionals.

  • Individual professionals associated with this firm
  • FINRA BrokerCheck research
  • Detailed disciplinary history (DRP events)
  • State-specific enforcement records
  • Form ADV Part 2 brochure narrative
  • Standalone public fund or owner profiles
  • Investment performance
  • Portfolio holdings
  • Consumer reviews