EASTERLY FUNDS LLC
Adviser information for EASTERLY FUNDS LLC last updated from Form ADV on March 30th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 2 |
| 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 | 4 | $1.1B |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $1.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 4 | $1.1B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 1 | $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 | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesMODEL PORTFOLIOS |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-106805 |
|---|---|
| SEC ERA File Number | 801-106805 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 281785 |
| Legal Entity Identifier | 5493002Y0R9QHK7OA011 |
Principal Office
515 MADISON AVENUE24TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 646-201-4042, Fax: 646-290-6676
Chief Compliance Officer
KENNETH JUSTER
138 CONANT ST.
BEVERLY
MA
United States
Tel:
617-303-4817
K******@*************M
(Full email address available in API data)
Regulatory Contact
PETER SCHUCHART
OPERATIONS DIRECTOR
515 MADISON AVENUE
24TH FLOOR
NEW YORK
NY
United States
Tel:
(646) 201-5516
Fax:
(646) 290-6676
P*********@****************M
(Full email address available in API data)
Industry Affiliates
| EASTERLY EAB RISK SOLUTIONS LLC | Other investment adviser, including financial planners |
| EASTERLY INVESTMENT PARTNERS GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| EASTERLY INVESTMENT PARTNERS LLC | Other investment adviser, including financial planners |
| EASTERLY SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| FDX CAPITAL LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MONTAGUE, MICHAEL | Individual | – | CHIEF OPERATING OFFICER | 10/2015 | < 5% |
| NAYDEN, DENIS, JAMES | Individual | – | PARTNER | 10/2015 | < 5% |
| GREENE, KEVIN, ROBERT | Individual | – | MANAGING PARTNER | 10/2015 | < 5% |
| CRATE, DARRELL, WILLIAM | Individual | – | CHIEF EXECUTIVE OFFICER | 05/2020 | < 5% |
| JAMES ALPHA INTERMEDIATE LLC | Domestic Entity | – | MEMBER | 05/2020 | > 75% |
| EASTERLY JAA L.P. | Domestic Entity | – | MEMBER | 05/2020 | 10-25% |
| JAMES ALPHA HOLDINGS LLC | Domestic Entity | JAMES ALPHA INTERMEDIATE LLC | MEMBER | 05/2020 | 50-75% |
| NAYDEN, DENIS, JAMES | Individual | JAMES ALPHA HOLDINGS LLC | MEMBER | 05/2020 | 50-75% |
| GREENE, KEVIN, ROBERT | Individual | JAMES ALPHA HOLDINGS LLC | MEMBER | 05/2020 | 25-50% |
| CRATE, DARRELL, WILLIAM | Individual | EASTERLY CAPITAL, LLC | MEMBER | 03/2019 | > 75% |
| JUSTER, KENNETH, G | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2022 | < 5% |
| EASTERLY ASSET MANAGEMENT LP | Domestic Entity | EASTERLY JAA L.P. | OWNER | 05/2020 | > 75% |
| EASTERLY CAPITAL, LLC | Domestic Entity | EASTERLY ASSET MANAGEMENT LP | OWNER | 06/2021 | > 75% |
| EASTERLY ASSET MANAGEMENT GP LLC | Domestic Entity | EASTERLY ASSET MANAGEMENT LP | GENERAL PARTNER | 10/2020 | |
| EASTERLY JAA MANAGEMENT LLC | Domestic Entity | EASTERLY JAA L.P. | GENERAL PARTNER | 05/2020 |