Buffalo Capital Corporation (Newport Beach)

Name: Buffalo Capital Corporation
Address: 4299 Macarthur Blvd, Newport Beach, CA, 92660
Telephone: 949-476-2799

Buffalo Capital Corporation is a large advisory firm based in Newport Beach. It manages $127.87 million of regulatory assets for 374 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California and Texas.

Buffalo Capital Corporation provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for less than 10 clients. On top of advisory services, the firm also engages as life & health insurance.

Buffalo Capital Corporation: assets under management

The assets under management (AUM) of Buffalo Capital Corporation is $127.87 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 294% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $127.87 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $341.9 thousand each.

Investments

The firm invests in investment and business development companies the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Buffalo Capital Corporation 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 Buffalo Capital Corporation serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Buffalo Capital Corporation is high net worth individuals with 51 clients and $64.81 million of assets under management. Among the 10 most similar advisory firms, Buffalo Capital Corporation has the 5th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $127.87 million for 189 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.

Buffalo Capital Corporation doesn't advise any private funds.

Careers at Buffalo Capital Corporation

The company employs 4 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There are 4 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Jeffrey Vieth	President & chief compliance officer	1 May 1983	50% - 75%	454690
Peter Jeffrey Vieth	President & cfo	1 May 1983	75% - 100%	454690
P Jeffrey Vieth	President & cfo	1 May 1983	75% - 100%	454690
Terri L Sprague	Director of operations	1 May 1997	Other	4393803
Kurt Beimfohr	Vice-president	1 Mar 2012	Other	6050202
Kurt E Beimfohr	Senior vice-president	1 Dec 2013	25% - 50%	6050202

Based in Newport Beach

The principal office where Buffalo Capital Corporation performs its advisory services is located at 4299 Macarthur Blvd, Newport Beach, CA 92660, 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 949-476-2799 or by fax 949-476-2790. The normal business hours are 8:00am to 4:30pm on Monday - Friday. You can find more information about the New York firm at buffalocapital.com.