ECM U.S. INC.
Adviser information for ECM U.S. INC. last updated from Form ADV on March 22nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Massachusetts, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 2 | $455.6M |
| Total | 2 | $455.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $455.6M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 100 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | REIMBURSEMENT OF COSTS - SEE SCHEDULE D |
Identifiers
| SEC RIA File Number | 801-100379 |
|---|---|
| SEC ERA File Number | 801-100379 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 226605 |
| Legal Entity Identifier | None |
Principal Office
34 ELM ST.COHASSET
MA
United States
Monday - Friday, 9AM-5PM
Tel: 781-383-6600, Fax: None
Chief Compliance Officer
CHRISTOPHER L. PEISCH
PRESIDENT, TREASURER, SECRETARY, DIRECTOR
34 ELM ST.
COHASSET
MA
United States
Tel:
781-383-6600
P*****@*********M
(Full email address available in API data)
Industry Affiliates
| ECM EQUITY CAPITAL ADMINISTRATION GMBH | Sponsor, GP, manager of pooled investment vehicles |
| ECM EQUITY CAPITAL MANAGEMENT GMBH | Other investment adviser, including financial planners |
| GEP MANAGEMENT GMBH & CO. KG | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GERMAN EQUITY PARTNERS IV GMBH & CO. KG | Private Equity Fund | $55.2M | $0.5M | 22 |
| GERMAN EQUITY PARTNERS V GMBH & CO. KG | Private Equity Fund | $400.4M | $0.7M | 24 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PEISCH, CHRISTOPHER, LYONS | Individual | – | CHIEF COMPLIANCE OFFICER/ DIRECTOR/ PRESIDENT | 05/2015 | < 5% |
| ECM EQUITY CAPITAL MANAGEMENT GMBH | Foreign Entity | – | SHAREHOLDER | 05/2015 | > 75% |
| PEISCH, CHRISTOPHER, LYONS | Individual | ECM EQUITY CAPITAL MANAGEMENT GMBH | MANAGING DIRECTOR | 04/1999 | |
| EICHMEYER, AXEL | Individual | ECM EQUITY CAPITAL MANAGEMENT GMBH | MANAGING DIRECTOR/SHAREHOLDER | 06/2004 | 50-75% |
| ECM EQUITY CAPITAL MANAGEMENT GMBH | Foreign Entity | ECM EQUITY CAPITAL ADMINISTRATION GMBH | SHAREHOLDER | 12/2005 | > 75% |
| KAEHLER, FLORIAN, ALEXANDER | Individual | ECM EQUITY CAPITAL MANAGEMENT GMBH | MANAGING DIRECTOR/SHAREHOLDER | 09/2019 | 25-50% |