BROADCORE INVESTMENTS LP

Adviser information for BROADCORE INVESTMENTS LP last updated from Form ADV on March 26th, 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 Partnership
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 3
Investment Advisory/Research 2
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 6 $13.0M
Non-Discretionary 0 $0
Total 6 $13.0M

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 5 $7.7M
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 <5 $5.3M
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 individuals and/or small businessesPortfolio management for businesses or institutional clients
Compensation % of AUM

Identifiers

SEC RIA File Number 801-108082
SEC ERA File Number 801-108082
SEC CIK Numbers None
SEC CRD Numbers 165674
Legal Entity Identifier None

Principal Office

93 SHEPHERD LANE
ROSLYN HEIGHTS
NY
United States
Monday - Friday, 9AM-5PM
Tel: 646-535-6900, Fax: None

Chief Compliance Officer

THOMAS M. WONG
PARTNER
93 SHEPHERD LANE
ROSLYN HEIGHTS
NY
United States
Tel: 646-535-6900
(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
MERMELSTEIN, STEPHEN, JAY Individual CHIEF FINANCIAL OFFICER/LIMITED PARTNER 07/2011 < 5%
ZONA, GRACE, ANN Individual LIMITED PARTNER 07/2011 < 5%
WONG, THOMAS, MO Individual CHIEF COMPLIANCE OFFICER/LIMITED PARTNER 07/2011 < 5%
BROADCORE INVESTMENTS LLC Domestic Entity GENERAL PARTNER 06/2011 > 75%
MERMELSTEIN, STEPHEN, JAY Individual BROADCORE INVESTMENTS LLC MEMBER 07/2011
ZONA, GRACE, ANN Individual BROADCORE INVESTMENTS LLC MEMBER 07/2011 25-50%
WONG, THOMAS, MO Individual BROADCORE INVESTMENTS LLC MEMBER 07/2011 25-50%

No. Employees, Historic

10502020202120222023202420253 on 3/27/20203 on 6/29/20203 on 3/30/20213 on 3/27/20223 on 3/26/20233 on 3/26/2024

RAUM, Historic

40M20M020202021202220232024202534161621 on 3/27/202034161621 on 6/29/202036244187 on 3/30/202134812725 on 3/27/202227302141 on 3/26/202312997815 on 3/26/2024

No. Clients, Historic

10502020202120222023202420256 on 3/27/20206 on 6/29/20206 on 3/30/20215 on 3/27/20225 on 3/26/20235 on 3/26/2024