EFFICIENT CAPITAL MANAGEMENT LLC
Adviser information for EFFICIENT CAPITAL MANAGEMENT LLC last updated from Form ADV on March 28th, 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 | 28 |
|---|---|
| Investment Advisory/Research | 14 |
| 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 | 21 | $1.0B |
| Non-Discretionary | 0 | $0 |
| Total | 21 | $1.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 21 | $1.0B |
| 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 | 69 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based feesADVISORY FEES SHARED WITH CERTAIN ADVISORS. |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-111824 |
|---|---|
| SEC ERA File Number | 801-111824 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 287958 |
| Legal Entity Identifier | 549300ZVQHHF254YW908 |
Principal Office
4355 WEAVER PARKWAYSUITE 200
WARRENVILLE
IL
United States
Monday - Friday, 8AM - 5PM
Tel: 630-657-6800, Fax: 630-657-6686
Chief Compliance Officer
DONNA M. ALLEN
4355 WEAVER PARKWAY
SUITE 200
WARRENVILLE
IL
United States
Tel:
630-657-6800
Fax:
630-657-6686
D*****@************M
(Full email address available in API data)
Regulatory Contact
MILTON K. BUCKINGHAM
GENERAL COUNSEL
4355 WEAVER PKWY
SUITE 200
WARRENVILLE
IL
United States
Tel:
630-657-6800
Fax:
630-657-6686
C*********@************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| EFFICIENT U.S. FUNDS, LLC - GEMSTONE-ENHANCED MULTI-ASSET SERIES | Hedge Fund | $49.1M | $1.0M | 0 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| EFFICIENT CAPITAL HOLDINGS, LLC | Domestic Entity | – | MEMBER | 01/2006 | > 75% |
| JAFFARIAN, ERNEST, LEE | Individual | – | CHIEF EXECUTIVE OFFICER, CO-CHIEF INVESTMENT OFFICER | 07/1999 | < 5% |
| ALLEN, DONNA, MARIE | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2005 | < 5% |
| MARTINSON, CHAD, RICHARD | Individual | – | CO-CHIEF INVESTMENT OFFICER | 03/2002 | < 5% |
| JAFFARIAN MANAGEMENT COMPANY LLC | Domestic Entity | EFFICIENT CAPITAL HOLDINGS LLC | MANAGER | 01/2006 | 50-75% |
| JAFFARIAN, ERNEST, LEE | Individual | JAFFARIAN MANAGEMENT COMPANY LLC | MANAGING MEMBER | 01/2006 | 25-50% |
| JAFFARIAN, TRULA, MADSEN | Individual | JAFFARIAN MANAGEMENT COMPANY LLC | MEMBER | 01/2006 | 25-50% |
| JAFFARIAN MANAGEMENT COMPANY LLC | Domestic Entity | – | MANAGER | 01/2006 | < 5% |
| BUCKINGHAM, MILTON, KELLOGG | Individual | – | GENERAL COUNSEL | 01/2018 | < 5% |
| BRADSHAW, CURTIS, W | Individual | – | MANAGING DIRECTOR | 06/2016 | < 5% |
| MOLYBOGA, MARAT | Individual | – | CHIEF RISK OFFICER | 08/2001 | < 5% |
| Levin, Scott, Benjamin | Individual | – | CHIEF FINANCIAL OFFICER | 10/2023 | < 5% |
| Meksi, Lorent | Individual | – | MANAGING DIRECTOR, PORTFOLIO STRATEGY | 10/2021 | < 5% |
| Mathew, Vinod, Kuruvilla | Individual | – | DIRECTOR, FUND ADMINISTRATION | 10/2023 | < 5% |