HEIRLOOM INVESTMENT MANAGEMENT LLC
Adviser information for HEIRLOOM INVESTMENT MANAGEMENT LLC last updated from Form ADV on March 28th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| 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 | 4 | $46.6M |
| Non-Discretionary | 1 | $76.7M |
| Total | 5 | $123.3M |
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 | 3 | $101.2M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $22.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 4 |
| No. of Non-U.S. Clients | 67 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly chargesPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-107295 |
|---|---|
| SEC ERA File Number | 801-107295 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 281357 |
| Legal Entity Identifier | 549300WJKZD6GJT44621 |
Principal Office
BURJ KHALIFA, UNIT 3605DUBAI
United Arab Emirates
Monday - Friday, 8AM - 6PM
Tel: 561-404-4847, Fax: None
Chief Compliance Officer
GERARD FINNEGAN
CHIEF OPERATIONS OFFICER
TRELLICK
KINVARA
GALWAY
Ireland
Tel:
+353 86 455 2222
G**************@********************M
(Full email address available in API data)
Regulatory Contact
GEOFF DOVER
CHIEF INVESTMENT OFFICER
BURJ KHALIFA, UNIT 3605
DUBAI
United Arab Emirates
Tel:
302-261-5318
G**********@********************M
(Full email address available in API data)
Industry Affiliates
| HEIRLOOM HOLDINGS | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| HEIRLOOM HELICOPTER LEASING POOL 2020 LLC | Private Equity Fund | $4.6M | $1.0M | 9 |
| HEIRLOOM INVESTMENT FUND SPC - HEIRLOOM FIXED RETURN FUND SP | Hedge Fund | $19.0M | $0.1M | 9 |
| OCORIAN SINGAPORE TRUST COMPANY PTE LTD AS TRUSTEE OF FIDELIS FUND | Hedge Fund | $76.7M | $1.0M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HEIRLOOM HOLDINGS | Foreign Entity | – | MEMBER | 05/2016 | > 75% |
| DOVER, GEOFF, JOHN | Individual | HEIRLOOM HOLDINGS | MANAGING MEMBER | 07/2015 | > 75% |
| DOVER, GEOFF, JOHN | Individual | – | MANAGING MEMBER, CIO | 07/2015 | < 5% |
| Hirshfeld, Beth, Sarah | Individual | – | MEMBER & VICE PRESIDENT | 09/2019 | < 5% |
| Finnegan, Gerard, Oliver | Individual | – | CHIEF COMPLIANCE OFFICER AND CHIEF OPERATIONS OFFICER | 03/2024 | < 5% |
| Franklin, Adam, Ray | Individual | – | CHIEF FINANCIAL OFFICER | 01/2024 | < 5% |