FENIX TRADING
FENIX ASSET MANAGEMENT, LLC Legal Name
Adviser information for FENIX TRADING last updated from Form ADV on February 12th, 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 | 2 |
| 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 | 290 | $104.5M |
| Non-Discretionary | 106 | $14.6M |
| Total | 396 | $119.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 348 | $77.4M |
| HNW Individuals | 0 | $0 |
| 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 | 48 | $41.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 99 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesNEGOTIATED MINIMUM FEES |
| Other Business Activities | Registered representative of a broker-dealer |
Identifiers
| SEC RIA File Number | 801-112181 |
|---|---|
| SEC ERA File Number | 801-112181 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 291069 |
| Legal Entity Identifier | 61-1854872 |
Principal Office
ONE WORLD TRADE CENTER85TH FLOOR
NEW YORK
NY
United States
PERIODIC, 9 AM TO 5 PM
Tel: (646) 652-6561, Fax: None
Chief Compliance Officer
JULIAN GALVEZ
MANAGING MEMBER
ONE WORLD TRADE CENTER
85TH FLOOR
NEW YORK
NY
United States
Tel:
678-894-1959
J******@***************T
(Full email address available in API data)
Regulatory Contact
MICHAEL BROWN
ASSISTANT COMPLIANCE OFFICER
ONE WORLD TRADE CENTER
85TH FLOOR
NEW YORK
NY
United States
Tel:
678-894-1959
M******@**************M
(Full email address available in API data)
Industry Affiliates
| FENIX SECURITIES, 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 |
|---|---|---|---|---|---|
| GALVEZ POURTALE, JULIAN | Individual | – | MANAGING MEMBER | 10/2017 | 10-25% |
| BROWN, MICHAEL, OWEN | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2019 | < 5% |
| FENIX FINANCIAL LTD | Foreign Entity | – | MEMBER ENTITY | 01/2018 | > 75% |
| REEF CAPITAL PARTNERS LTD | Foreign Entity | FENIX FINANCIAL LTD | INDIRECT OWNER ENTITY | 01/2018 | 25-50% |
| MADISON VENTURE PARTNERS LTD | Foreign Entity | FENIX FINANCIAL LTD | INDIRECT OWNER ENTITY | 01/2018 | 25-50% |