DUBIN CLARK
DUBIN CLARK & COMPANY, INC Legal Name
Adviser information for DUBIN CLARK 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 20 |
|---|---|
| Investment Advisory/Research | 15 |
| 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 | 22 | $414.4M |
| Non-Discretionary | 0 | $0 |
| Total | 22 | $414.4M |
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 | 22 | $414.4M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-107768 |
|---|---|
| SEC ERA File Number | 801-107768 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 282733 |
| Legal Entity Identifier | None |
Principal Office
1030 2ND ST. SOUTHSUITE 301
JACKSONVILLE BEACH
FL
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 904-799-1984, Fax: 203-547-7444
Chief Compliance Officer
MICHELLE M. CUMMINGS
CHIEF FINANCIAL OFFICER
1030 2ND ST. S
SUITE 301
JACKSONVILLE BEACH
FL
United States
Tel:
904-852-8315
Fax:
203-547-7444
M********@*************M
(Full email address available in API data)
Regulatory Contact
THOMAS J. CARACCIOLO
MANAGING PARTNER, PRESIDENT
500 SOUTH POINTE DRIVE
SUITE 220
MIAMI BEACH
FL
United States
Tel:
305-676-6506
Fax:
203-547-7444
C*********@*************M
(Full email address available in API data)
Industry Affiliates
| DC FLORIDA INVESTORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| DC PREMIUM GOLF INVESTORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| DC SUPER HOME SERVICES INVESTORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| DC SUPER INTERIOR INVESTORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| DCCP (SPV) FUND INVESTORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| DCCP ECOSYSTEMS INVESTORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| DCCP FUND INVESTORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| DCCP INVESTORS II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| DCCP INVESTORS III, LLC | Sponsor, GP, manager of pooled investment vehicles |
| DCCP LEVEL INVESTORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| DCCP M&M RENTAL INVESTORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| DCCP PETERSON PARTY INVESTORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| DCCP ROCKER INVESTORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| DCCP SGA INVESTORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| DCCP TRIM PARTS INVESTORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| DCCP USSC INVESTORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| DC FLORIDA FUND, LP | Private Equity Fund | $6.6M | $1.0M | 1 |
| DCCP (PC) SPV, L.P. | Private Equity Fund | $18.2M | $1.0M | 2 |
| DCCP FUND II, LP | Private Equity Fund | $51.5M | $1.0M | 28 |
| DCCP FUND III, LP | Private Equity Fund | $25.8M | $1.0M | 53 |
| DCCP FUND, LP | Private Equity Fund | $19.1M | $1.0M | 3 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CARACCIOLO, THOMAS, JOSEPH | Individual | – | MANAGING PARTNER, DIRECTOR, PRESIDENT, TREASURER, SECRETARY, SHAREHOLDER (CLASS A, COMMON) | 11/2003 | 25-50% |
| PARIS, BRENT, LEE | Individual | – | MANAGING PARTNER, VICE PRESIDENT, ASST. SECRETARY, SHAREHOLDER (CLASS A, COMMON) | 12/2004 | 25-50% |
| HOMPESCH, MICHAEL, PAUL | Individual | – | PARTNER, VICE PRESIDENT, ASST. SECRETARY, SHAREHOLDER (CLASS A, COMMON) | 06/2012 | 25-50% |
| CUMMINGS, MICHELLE, MARIE | Individual | – | CFO/CCO | 10/2015 | < 5% |