Newfound Research Llc
- Regulatory AUM
- $1.1B
- Discretionary
- $1.1B
- Clients
- 8
- Avg AUM / client
- $139M
- Accounts
- 8
- Employees
- 5
AUM over time
Annual snapshots from Form ADV filings · as of Jul 14, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 8 | $1.1B | 100.0% |
People (2)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Hoffstein, Corey, Michael | Member | Aug 2008 (18y) | ≈ 56.25% – 100% via Newfound Holdings Llc | |
| Stowell Iii, Joseph, Francis | Chief Compliance Officer | Dec 2019 (7y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Newfound Holdings Llc | Member | Aug 2010 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Hoffstein, Corey, Michael: 75% – 100% of Newfound Holdings Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/14/2026 | 1010 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Other fees
- • % OF CLIENTS' AUM/AUA
Services
- • Portfolio management for investment companies
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $425K (0% of AUM) Mar 2020
- Fidelity Brokerage Services $256K (0% of AUM) Mar 2018
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 14, 2026.
View current Form ADV (SEC/IAPD) ↗