PRINCIPAL STREET PARTNERS, LLC
Adviser information for PRINCIPAL STREET PARTNERS, LLC last updated from Form ADV on March 27th, 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 | 12 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 9 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 557 | $1.6B |
| Non-Discretionary | 167 | $1.3B |
| Total | 724 | $2.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 110 | $1.6B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $307.9M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $64.1M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 11 | $866.2M |
| 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 | 126 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesINVESTMENT MODELS TO OTHER INVESTMENT ADVISERS |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees12B-1 FEES |
Principal Office
949 SHADY GROVE RD SOUTHSUITE 402
MEMPHIS
TN
United States
Monday - Friday, 8-5
Tel: 844-678-6900, Fax: 901-250-6701
Chief Compliance Officer
MORGAN SANDERS
949 SHADY GROVE ROAD SOUTH
SUITE 402
MEMPHIS
TN
United States
Tel:
844-678-6900
Fax:
901-250-6701
M*************@******************M
(Full email address available in API data)
Regulatory Contact
RICHARD FINCH
949 SHADY GROVE ROAD SOUTH
SUITE 402
MEMPHIS
TN
United States
Tel:
844-678-6900
Fax:
901-250-6701
R************@******************M
(Full email address available in API data)
Industry Affiliates
| VERTIGO STRATEGIES, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| JOSHUA TREE CAPITAL, L.P. FUND | Hedge Fund | $24.0M | $0.5M | 19 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WHITEHEAD, WOODSON, CARY | Individual | – | MEMBER | 09/2016 | 5-10% |
| HORN, DARRELL, LANE | Individual | – | MANAGING MEMBER | 09/2016 | 50-75% |
| FINCH, RICHARD, ALOYSIUS | Individual | – | MEMBER | 09/2016 | 10-25% |
| WEST, JAMES, ARMIN | Individual | – | CHIEF EXECUTIVE OFFICER | 09/2016 | 10-25% |
| SANDERS, MORGAN, FLYNT | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2019 | < 5% |
| TAYLOR, RYAN, SHANE | Individual | – | MEMBER | 09/2016 | 5-10% |