ALVARIUM INVESTMENT MANAGERS (US), LLC
Adviser information for ALVARIUM INVESTMENT MANAGERS (US), LLC last updated from Form ADV on October 6th, 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 | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| 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 | 20 | $131.1M |
| Non-Discretionary | 0 | $0 |
| Total | 20 | $131.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 20 | $131.1M |
| 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 | 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 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 85.9M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| AIMUS WRAP FEE PROGRAM | ALVARIUM INVESTMENT MANAGERS (US), LLC |
Identifiers
| SEC RIA File Number | 801-110072 |
|---|---|
| SEC ERA File Number | 801-110072 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 285731 |
| Legal Entity Identifier | None |
Principal Office
1111 BRICKELL AVENUESUITE 2802
MIAMI
FL
United States
Monday - Friday, 9AM-5PM
Tel: 3053738033, Fax: 6316131566
Chief Compliance Officer
WHITNEY FOGLE LEWIS
GENERAL COUNSEL
100 CRESCENT COURT
SUITE 500
DALLAS
TX
United States
Tel:
2148552202
W*****@********************M
(Full email address available in API data)
Regulatory Contact
EDWIN FERMIN
DIRECTOR OF COMPLIANCE
1111 BRICKELL AVENUE
SUITE 2802
MIAMI
FL
United States
Tel:
305-373-8033
E***********@**********************M
(Full email address available in API data)
Industry Affiliates
| ALTI CI ADVISORS (UK) LIMITED | Other investment adviser, including financial planners |
| ALTI MB (UK) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| ALTI PO (PAYMENTS) LIMITED | Insurance company or agency |
| ALTI RE LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| ALTI STRATEGIC ADVISORY (US) BD, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| ALTI WEALTH MANAGEMENT (HONG KONG) LIMITED | Other investment adviser, including financial planners |
| ALTI WEALTH MANAGEMENT (UK) LIMITED | Other investment adviser, including financial planners |
| ALVARIUM CORE PARTNERS LLP | Other investment adviser, including financial planners |
| ALVARIUM FUND MANAGERS (UK) LIMITED | Other investment adviser, including financial planners |
| ALVARIUM INVESTMENT ADVISORS (FRANCE) SAS | Other investment adviser, including financial planners |
| ALVARIUM INVESTMENT ADVISORS (PORTUGAL) - EMPRESA DE INVESTIMENTO, S.A. | Other investment adviser, including financial planners |
| ALVARIUM INVESTMENT ADVISORS (SINGAPORE) PTE LTD | Other investment adviser, including financial planners |
| ALVARIUM INVESTMENT ADVISORS (SUISSE) SA | Other investment adviser, including financial planners |
| ALVARIUM INVESTMENT ADVISORS (US), INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| ALVARIUM INVESTMENT MANAGERS (SUISSE) SA | Other investment adviser, including financial planners |
| ALVARIUM INVESTMENT MANAGERS (UK) LLP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| ALVARIUM INVESTMENTS | Sponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| ALVARIUM INVESTMENTS (AUS) PTY LTD | Other investment adviser, including financial planners |
| ALVARIUM REAL ESTATE | Sponsor or syndicator of limited partnerships |
| ALVARIUM SOCIAL HOUSING ADVISORS LIMITED | Other investment adviser, including financial planners |
| CASTEEL CAPITAL LLP | Other investment adviser, including financial planners |
| CRESCO CAPITAL ADVISERS LLP | Other investment adviser, including financial planners |
| ELLORA PARTNERS LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| HOLBEIN PARTNERS LLP | Other investment adviser, including financial planners |
| LJ MANAGEMENT (IOM) LIMITED | Trust company |
| LJ MANAGEMENT (SUISSE) SA | Trust company |
| LXI REIT ADVISORS LIMITED | Other investment adviser, including financial planners |
| OSPREY EQUITY PARTNERS LIMITED | Other investment adviser, including financial planners |
| POINTWISE PARTNERS LIMITED | Other investment adviser, including financial planners |
| PRADERA EUROPE LIMITED | Other investment adviser, including financial planners |
| PRADERA LIMITED | Other investment adviser, including financial planners |
| TIEDEMANN ADVISORS, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| TIEDEMANN CONSTANTIA AG | Other investment adviser, including financial planners |
| TIEDEMANN INTERNATIONAL (SWITZERLAND) 2 AG | Other investment adviser, including financial planners |
| TIEDEMANN TRUST COMPANY | Trust company |
| TIG ADVISORS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ALVARIUM INVESTMENT MANAGEMENT (US) HOLDINGS CORP | Domestic Entity | – | PARENT | 11/2015 | > 75% |
| FULK, JEFFREY, WAYNE | Individual | – | DIRECTOR | 04/2017 | < 5% |
| ALTI GLOBAL WEALTH MANAGEMENT HOLDINGS LIMITED | Foreign Entity | ALVARIUM INVESTMENT MANAGEMENT (US) HOLDINGS CORP | SHAREHOLDER | 01/2023 | > 75% |
| ALTI WEALTH MANAGEMENT HOLDINGS, LLC | Domestic Entity | ALTI GLOBAL WEALTH MANAGEMENT HOLDINGS LIMITED | SHAREHOLDER | 01/2023 | > 75% |
| ALTI GLOBAL HOLDINGS, LLC | Domestic Entity | ALTI WEALTH MANAGEMENT HOLDINGS, LLC | MEMBER | 01/2023 | > 75% |
| ALTI GLOBAL TOPCO LIMITED | Foreign Entity | ALTI GLOBAL HOLDINGS, LLC | MEMBER | 01/2023 | > 75% |
| ALTI GLOBAL CAPITAL, LLC | Domestic Entity | ALTI GLOBAL TOPCO LIMITED | SHAREHOLDER | 01/2023 | > 75% |
| ALTI GLOBAL, INC. | Domestic Entity | ALTI GLOBAL CAPITAL, LLC | SHAREHOLDER | 01/2023 | 25-50% |
| LEWIS, WHITNEY, FOGLE | Individual | – | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 10/2023 | < 5% |