XA INVESTMENTS
XA INVESTMENTS LLC Legal Name
Adviser information for XA INVESTMENTS 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 | 12 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 8 |
| 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 | 1 | $547.1M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $547.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $547.1M |
| 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 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-110653 |
|---|---|
| SEC ERA File Number | 801-110653 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 284005 |
| Legal Entity Identifier | None |
Principal Office
321 N. CLARK STREETSUITE 2430
CHICAGO
IL
United States
Monday - Friday, 9:00 - 5:00
Tel: 312-374-6930, Fax: 708-575-3945
Chief Compliance Officer
BENJAMIN MCCULLOCH
MANAGING DIRECTOR AND GENERAL COUNSEL
321 N CLARK ST
SUITE 2430
CHICAGO
IL
United States
Tel:
312-374-6937
Fax:
708-575-3945
B*********@****************M
(Full email address available in API data)
Regulatory Contact
KIMBERLY FLYNN
MANAGING DIRECTOR
321 N. CLARK STREET, SUITE 2440
CHICAGO
IL
United States
Tel:
312-374-6932
Fax:
708-575-3945
K*****@****************M
(Full email address available in API data)
Industry Affiliates
| XMS CAPITAL PARTNERS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| XMS ASSET MANAGEMENT LLC | Domestic Entity | – | MEMBER | 04/2016 | > 75% |
| SPENCE, JOHN, FLINN | Individual | – | CO-CEO | 04/2016 | < 5% |
| BROMBACH, THEODORE, JOSEPH | Individual | – | CO-CEO | 04/2016 | < 5% |
| FLYNN, KIMBERLY, ANN | Individual | – | MANAGING DIRECTOR | 04/2016 | < 5% |
| XMS HOLDINGS LLC | Domestic Entity | XMS ASSET MANGEMENT LLC | MEMBER | 04/2016 | > 75% |
| SPENCE, JOHN, FLINN | Individual | XMS HOLDINGS LLC | MEMBER | 04/2016 | 50-75% |
| BROMBACH, THEODORE, JOSEPH | Individual | XMS HOLDINGS LLC | MEMBER | 04/2016 | 50-75% |
| MCCULLOCH, BENJAMIN, DAVID | Individual | – | MANAGING DIRECTOR AND GENERAL COUNSEL AND CCO | 03/2021 | < 5% |