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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

CHIEFTAIN CAPITAL MANAGEMENT, INC.

CRD 152274

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f98b2ebb-a523-974f-2da6-c80b6ecfa454

Data as of Mar 21, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 1
Observed: Mar 13, 2012 to Mar 21, 2018
10 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Family Officesidentity

Chieftain Capital Management Inc

Family office · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.7BItem 5.F on the latest filing (2018-03-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.7B
Private client RAUM: $1.5BderivedItem 5.D individuals plus high net worth individuals
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 227
Individual clients: 22
High net worth clients: 173
SEC number: 801-70822
CRD: 152274
Filings on the tape: 10
First filed: Mar 13, 2012
Latest filed: Mar 21, 2018
Organised: Corporation, New York

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
OW, YUNG, HWEI	Director	A	yes	01/2017	Mar 23, 2017	Mar 21, 2018
SHAPIRO, JOHN, MICHAEL	MANAGING DIRECTOR	C	yes	11/2009	Mar 13, 2012	Mar 21, 2018
SLOCUM, JOSHUA, RIDER	MANAGING DIRECTOR	C	yes	11/2009	Mar 13, 2012	Mar 21, 2018
STERN, THOMAS, DAVID	MANAGING DIRECTOR	C	yes	11/2009	Mar 13, 2012	Mar 21, 2018
STUTO, RALPH, JOSEPH	CHIEF COMPLIANCE OFFICER	Na	yes	06/2011	Mar 13, 2012	Mar 21, 2018

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 21, 2018	$1.7B	$1.7B	6	4	0	n/a	n/a
2016	Mar 23, 2017	$2.1B	$2.1B	6	4	n/a	n/a	n/a
2015	Mar 30, 2016	$2.0B	$2.0B	6	4	n/a	n/a	n/a
2014	Mar 13, 2015	$2.1B	$2.1B	6	4	n/a	n/a	n/a
2013	Mar 31, 2014	$1.9B	$1.9B	6	4	n/a	n/a	n/a
2012	Mar 20, 2013	$1.5B	$1.5B	6	4	n/a	n/a	n/a
2011	Mar 13, 2012	$1.7B	$1.7B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$1.7B	$2.1B	-19.4%	$2.1B	-7.1%	6	6	0	n/a

Relationships

Controls (5)

← OW, YUNG, HWEIOwnerDIRECTOR, ownership code A, individual
Mar 23, 2017 to presentfactForm ADV
← SHAPIRO, JOHN, MICHAELOwnerMANAGING DIRECTOR, ownership code C, individual
Mar 13, 2012 to presentfactForm ADV
← STERN, THOMAS, DAVIDOwnerMANAGING DIRECTOR, ownership code C, individual
Mar 13, 2012 to presentfactForm ADV
← SLOCUM, JOSHUA, RIDEROwnerMANAGING DIRECTOR, ownership code C, individual
Mar 13, 2012 to presentfactForm ADV
← STUTO, RALPH, JOSEPHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 13, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f98b2ebb-a523-974f-2da6-c80b6ecfa454
First observed: Mar 13, 2012
Last observed: Mar 21, 2018 103 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CHIEFTAIN CAPITAL MANAGEMENT, INC.

CRD 152274

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f98b2ebb-a523-974f-2da6-c80b6ecfa454

Data as of Mar 21, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:37 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

OW, YUNG, HWEI

Director

yes

01/2017

Mar 23, 2017

Mar 21, 2018

SHAPIRO, JOHN, MICHAEL

MANAGING DIRECTOR

yes

11/2009

Mar 13, 2012

Mar 21, 2018

SLOCUM, JOSHUA, RIDER

MANAGING DIRECTOR

yes

11/2009

Mar 13, 2012

Mar 21, 2018

STERN, THOMAS, DAVID

MANAGING DIRECTOR

yes

11/2009

Mar 13, 2012

Mar 21, 2018

STUTO, RALPH, JOSEPH

CHIEF COMPLIANCE OFFICER

yes

06/2011

Mar 13, 2012

Mar 21, 2018

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 21, 2018

$1.7B

n/a

2016

Mar 23, 2017

$2.1B

n/a

2015

Mar 30, 2016

$2.0B

n/a

2014

Mar 13, 2015

$2.1B

n/a

2013

Mar 31, 2014

$1.9B

n/a

2012

Mar 20, 2013

$1.5B

n/a

2011

Mar 13, 2012

$1.7B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$1.7B

$2.1B

-19.4%

$2.1B

-7.1%

n/a