SPECTRA INVESTMENT MANAGEMENT, LLC
Adviser information for SPECTRA INVESTMENT MANAGEMENT, LLC 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 Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 101 | $207.4M |
| Non-Discretionary | 17 | $12.5M |
| Total | 118 | $220.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 6 | $3.2M |
| HNW Individuals | 16 | $194.4M |
| 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 | 1 | $1 |
| Charitable organizations | 4 | $18.4M |
| 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 | 5 | $4.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| 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 businesses or institutional clientsPension consulting servicesFAMILY OFFICE SERVICES |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-110258 |
|---|---|
| SEC ERA File Number | 801-110258 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 288145 |
| Legal Entity Identifier | None |
Principal Office
401 SE OSCEOLA STREETSUITE 202
STUART
FL
United States
Monday - Friday, 8:30 AM TO 5:00 PM
Tel: (772) 324-5640, Fax: (772) 261-2111
Chief Compliance Officer
JULIA ELIZABETH ZAINO
MEMBER
401 SE OSCEOLA STREET
STUART
FL
United States
Tel:
(772) 324-5640
J****@********************M
(Full email address available in API data)
Regulatory Contact
SCOTT ALAN ROADS
MANAGING MEMBER
401 SE OSCEOLA STREET
STUART
FL
United States
Tel:
(772) 324-5640
S****@********************M
(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 |
|---|---|---|---|---|---|
| Roads, Scott, Alan | Individual | – | MANAGING MEMBER | 03/2017 | > 75% |
| Zaino, Julia, Elizabeth | Individual | – | MEMBER/CHIEF COMPLIANCE OFFICER | 01/2019 | 10-25% |