Institutional
Investor Relations
Regulatory, governance, and institutional information for counterparties, investors, and professional clients of Thomas Schumann Capital GmbH.
1999
Founded
BaFin
Regulator
DE · CH · UK
Jurisdictions
Professional Only
Client Type
Firm Overview
A regulated investment and capital markets firm.
Thomas Schumann Capital GmbH is a Germany-based investment and capital markets firm specialising in structured finance, asset-based lending, M&A advisory, and strategic investment solutions across European markets.
Founded in 1999, the firm has built a reputation for senior-led execution, intellectual rigour, and a long-term orientation. We work exclusively with professional clients and eligible counterparties — institutional investors, corporate treasuries, family offices, and financial institutions.
The firm operates under the regulatory oversight of the Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) and is registered at the Amtsgericht Frankfurt am Main under HRB 132465. Cross-border activities are conducted in compliance with applicable Swiss and UK regulatory frameworks.
Legal Name
Thomas Schumann Capital GmbH
Legal Form
Gesellschaft mit beschränkter Haftung (GmbH)
Commercial Register
HRB 132465
Registering Court
Amtsgericht Frankfurt am Main
Regulator
BaFin — Bundesanstalt für Finanzdienstleistungsaufsicht
BaFin Registration
Registered investment firm under WpIG
Founded
1999
Headquarters
OpernTurm, Bockenheimer Landstraße 2–4, 60306 Frankfurt am Main
Telephone
+49 69 94320140
IR Contact
Regulatory Disclosures
Compliance and regulatory framework.
The following disclosures are provided in accordance with applicable regulatory requirements and for the information of professional counterparties and institutional clients.
Regulatory Status
Thomas Schumann Capital GmbH is regulated by the Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin), the German Federal Financial Supervisory Authority, under the Wertpapierinstitutsgesetz (WpIG). The firm is authorised to provide investment services and ancillary services to professional clients and eligible counterparties.
Client Classification
Services are provided exclusively to professional clients and eligible counterparties as defined under MiFID II and the applicable German transposition legislation. The firm does not provide services to retail clients. Counterparties are required to confirm their professional status prior to the commencement of any engagement.
Conflicts of Interest
The firm maintains a comprehensive conflicts of interest policy in accordance with applicable regulatory requirements. Thomas Schumann Capital GmbH holds no proprietary products, accepts no third-party commissions or inducements, and operates on a strictly fee-based advisory model. A summary of the conflicts of interest policy is available upon request.
Best Execution
Where the firm transmits orders on behalf of clients, it maintains and applies a best execution policy in accordance with MiFID II requirements. The firm reviews its best execution arrangements on an annual basis and publishes a summary of its execution quality monitoring. Details are available upon written request.
Risk Disclosure
Investment and financing activities involve risk. The value of investments and the income from them may fall as well as rise. Past performance is not indicative of future results. Capital is at risk. Nothing on this website constitutes investment advice, a solicitation, or an offer to buy or sell any financial instrument.
Data Protection
Thomas Schumann Capital GmbH processes personal data in accordance with the General Data Protection Regulation (GDPR) and applicable German data protection legislation. The firm's data protection officer can be contacted at [email protected]. A full privacy notice is available upon request.
Governance
Senior management and oversight.
The firm is managed by its founding partners, each of whom takes direct responsibility for their respective practice area and the associated regulatory obligations.
Thomas Schumann
Managing Partner
Overall firm governance, investment banking, and global markets. Responsible for regulatory compliance and client relationships at the senior level.
Dr. Katharina Brandt
Partner, Asset Management
Investment Committee chair, portfolio management, and asset management practice. Responsible for investment strategy, mandate oversight, and institutional client relationships.
Marcus Hoffmann
Managing Director, Structured Finance
Structured finance and asset-based lending practice. Responsible for transaction origination, execution, and counterparty relationships across the DACH region.
Jurisdictions
Regulatory coverage by jurisdiction.
Germany
BaFin
Framework
WpIG, MiFID II, GDPR
Status
Primary jurisdiction. Fully authorised and regulated.
The firm is incorporated and headquartered in Frankfurt am Main. All primary regulatory obligations are discharged under German law and BaFin oversight.
Switzerland
FINMA
Framework
FinSA, FinIA
Status
Active cross-border operations.
The firm maintains active client relationships and transaction activity in Switzerland, operating under applicable cross-border exemptions and in compliance with Swiss financial services legislation.
United Kingdom
FCA
Framework
UK MiFIR, FSMA 2000
Status
Active cross-border operations.
The firm engages with UK-based institutional counterparties and investors under applicable post-Brexit cross-border frameworks. UK-facing activities are conducted in compliance with FCA requirements.
Documentation
Regulatory and compliance documents.
The following documents are available to professional counterparties and institutional clients upon written request. Please contact our investor relations team at [email protected].
Conflicts of Interest Policy Summary
Best Execution Policy Summary
Privacy Notice (GDPR)
MiFID II Client Classification Notice
Regulatory Capital Disclosure
Annual Report & Accounts
Institutional enquiries.
For institutional enquiries, counterparty due diligence, regulatory documentation requests, or questions relating to the firm's governance and compliance framework, please contact our investor relations team directly.
All communications are treated with strict confidentiality. We aim to respond to all institutional enquiries within two business days.
Investor Relations Contact
+49 69 94320140
Mon – Fri, 08:00 – 18:00 CET
OpernTurm, Bockenheimer Landstraße 2–4 60306 Frankfurt am Main, Germany
Within two business days
Thomas Schumann Capital GmbH is registered at the Amtsgericht Frankfurt am Main under HRB 132465 and regulated by the Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin). Services are provided exclusively to professional clients and eligible counterparties as defined under applicable European financial regulation. Nothing on this website constitutes investment advice, a solicitation, or an offer to buy or sell any financial instrument. Capital is at risk. Past performance is not indicative of future results. © 2026 Thomas Schumann Capital GmbH. All rights reserved.