Hedge Fund Database

3D/L CAPITAL MANAGEMENT, LLC

Adviser information for 3D/L CAPITAL MANAGEMENT, LLC last updated from Form ADV on December 22nd, 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 14
Investment Advisory/Research 10
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 10
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 22

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,422 $574.1M
Non-Discretionary 0 $0
Total 1,422 $574.1M

Clients

Type Number RAUM
Individuals 748 $212.7M
HNW Individuals 86 $177.3M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 8 $11.9M
Charitable organizations 11 $7.2M
State or municipal gov entities <5 $165.0M
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 856
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 0

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSUBADVISOR AND MODEL PROVIDER/STRATEGIST
Compensation % of AUMSUBADVISOR AND MODEL PROVIDER/STRATEGIST FEES

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 14.2M
Both for Same 14.0M
Portfolio Manager to Program Sponsor
ILLUMINATIONS PROGRAM ESI FINANCIAL ADVISORS
MANAGED OPPORTUNITIES SECURITIES AMERICA ADVISORS, INC.

Identifiers

SEC RIA File Number 801-107874
SEC ERA File Number 801-107874
SEC CIK Numbers 1846943
SEC CRD Numbers 283304
Legal Entity Identifier None

Principal Office

100 CONSTITUTION PLAZA
7TH FLOOR
HARTFORD
CT
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 860-291-1998, Fax: 860-291-9818

Websites

www.sterlinggroupat3d.com www.linkedin.com/company/3d-l-financial-group-llc twitter.com/3dlfinancial strada3dwealth.com/ www.3dlfinancial.com www.linkedin.com/company/strada-wealth-advisors/ 3d.freedomadvisors.com/

Chief Compliance Officer

ANDREW T. LUCICH
100 CONSTITUTION PLAZA
7TH FLOOR
HARTFORD
CT
United States
Tel: 860-291-1998 X117
(Full email address available in API data)

Regulatory Contact

JOHN A O'CONNOR
PRESIDENT
100 CONSTITUTION PLAZA
7TH FLOOR
HARTFORD
CT
United States
Tel: 860-291-1998
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
LUCICH, ANDREW, THOMAS Individual – CHIEF COMPLIANCE OFFICER 12/2020 < 5%
O'CONNOR, JOHN, ARTHUR Individual – PRESIDENT 12/2020 < 5%
LAVINE, BENJAMIN, MARSHAL Individual – CHIEF INVESTMENT OFFICER 06/2022 < 5%
FREEDOM ADVISORS GROUP INTERMEDIATE HOLDINGS LLC Domestic Entity – LIMITED LIABILITY COMPANY 06/2022 > 75%
FREEDOM ADVISORS GROUP LLC Domestic Entity FREEDOM ADVISORS GROUP INTERMEDIATE HOLDINGS LLC SHAREHOLDER 06/2022 > 75%
EQIS HOLDING, INC. Domestic Entity FREEDOM ADVISORS GROUP LLC SHAREHOLDER 06/2022 > 75%
EQIS COMMON HOLDCO, LLC Domestic Entity EQIS HOLDING, INC. SHAREHOLDER, COMMON STOCK 07/2018 50-75%
LONG RIDGE EQUITY PARTNERS I, L.P. Domestic Entity EQIS COMMON HOLDCO, LLC SHAREHOLDER 07/2018 > 75%
LONG RIDGE EQUITY PARTNERS I, L.P. Domestic Entity EQIS HOLDING, INC. SHAREHOLDER, SERIES C CONVERTIBLE PREFERRED STOCK 08/2018 25-50%
LONG RIDGE EQUITY PARTNERS I, L.P. Domestic Entity EQIS HOLDING, INC. SHAREHOLDER, SERIES B CONVERTIBLE PREFERRED STOCK 02/2016 50-75%
LONG RIDGE EQUITY PARTNERS Domestic Entity EQIS HOLDING, INC. VOTER, COMMON STOCK THROUGH LRECH SPECIAL MEMBER, LLC 08/2019
EH SERIES A PREFERRED REVOCABLE TRUST Domestic Entity EQIS HOLDING, INC. SHAREHOLDER, SERIES A CONVERTIBLE PREFERRED STOCK 03/2020 50-75%
LONG RIDGE EQUITY PARTNERS, LLC Domestic Entity LONG RIDGE EQUITY PARTNERS I, L.P. GENERAL PARTNER 02/2016
WINTERS, SCOTT, CHRISTOPHER Individual EQIS COMMON HOLDCO, LLC SHAREHOLDER 07/2018 25-50%
NELSON, WILLIAM, ROBERT Individual EQIS COMMON HOLDCO, LLC SHAREHOLDER 07/2018 25-50%
BHATT, KEVIN, BHALCHANDRA Individual LONG RIDGE EQUITY PARTNERS, LLC SHAREHOLDER 02/2016 25-50%
BROWN, JAMES, GERARD Individual LONG RIDGE EQUITY PARTNERS, LLC SHAREHOLDER 02/2016 25-50%
COHEN, JEFFREY, MAX Individual EH SERIES A PREFERRED REVOCABLE TRUST TRUSTEE, EH SERIES A PREFERRED REVOCABLE TRUST 03/2020
HERRMANN, ROBERT, PHILIP Individual – CHIEF EXECUTIVE OFFICER 06/2022 < 5%
DAIGNAULT, STEVEN, MARK Individual – CHIEF FINANCIAL OFFICER 06/2022 < 5%

No. Employees, Historic

20100202020212022202320245 on 3/30/202019 on 12/24/202019 on 3/31/202115 on 3/31/202215 on 3/31/202215 on 4/27/202215 on 4/28/202215 on 8/10/202214 on 3/31/202314 on 4/25/202314 on 12/22/2023

RAUM, Historic

800M400M020202021202220232024130832475 on 3/30/2020733857644 on 12/24/2020681762070 on 3/31/2021666300001 on 3/31/2022666300001 on 3/31/2022666300001 on 4/27/2022666300001 on 4/28/2022666300001 on 8/10/2022574113231 on 3/31/2023574113231 on 4/25/2023574113231 on 12/22/2023

No. Clients, Historic

1,00050002020202120222023202420 on 3/30/2020981 on 12/24/2020872 on 3/31/2021864 on 3/31/2022864 on 3/31/2022864 on 4/27/2022864 on 4/28/2022864 on 8/10/2022853 on 3/31/2023853 on 4/25/2023853 on 12/22/2023

Holdings

From latest 13F, filed February 14th, 2024 for period ending December 31st, 2023
Name Class Value $USD # Shares Private Fund
N/A COM 0 0 –