CHICAGO CAPITAL, LLC
Adviser information for CHICAGO CAPITAL, LLC last updated from Form ADV on February 14th, 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 | Illinois, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 9 |
| 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 | 1,826 | $3.5B |
| Non-Discretionary | 21 | $12.2M |
| Total | 1,847 | $3.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 319 | $107.4M |
| HNW Individuals | 343 | $3.3B |
| 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 | 13 | $12.2M |
| 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 | 7 | $118.1M |
| 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 clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Principal Office
135 S. LASALLESTE. 4200
CHICAGO
IL
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 312-429-2333, Fax: 312-429-2321
Chief Compliance Officer
STACEY LYNN SARGENT
MANAGING PARTNER/CHIEF COMPLIANCE OFFICER
135 S. LASALLE STREET
STE. 4200
CHICAGO
IL
United States
Tel:
(312) 429-2333
S*******@**********M
(Full email address available in API data)
Regulatory Contact
DAVID K. MABIE
MANAGING PARTNER
135 S. LASALLE STREET
STE. 4200
CHICAGO
IL
United States
Tel:
312-429-2333
D*****@**********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 |
|---|---|---|---|---|---|
| MABIE, DAVID, K | Individual | – | MANAGING PARTNER | 06/2018 | < 5% |
| MADDIX, ERIC, SCOTT | Individual | – | MANAGING PARTNER | 06/2018 | < 5% |
| CHI-CAP, LLC | Domestic Entity | – | MEMBER | 06/2018 | > 75% |
| MABIE, DAVID, K | Individual | CHI-CAP, LLC | MANAGER | 12/2018 | |
| SARGENT, STACEY, LYNN | Individual | – | MANAGING PARTNER/CHIEF COMPLIANCE OFFICER | 12/2019 | < 5% |
| MABIE 2014 GIFT TRUST U/A/D 7/31/2014 | Domestic Entity | CHI-CAP, LLC | MEMBER | 06/2018 | > 75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| THE AARONS COMPANY INC | COM | 577K | 58K | PRELUDE CAPITAL MANAGEMENT, LLC |
| ALARM COM HLDGS INC | NOTE 1/1 | 917K | – | – |
| BANDWIDTH INC | NOTE 0.250% 3/0 | 4M | – | – |
| BLACKLINE INC | NOTE 3/1 | 2M | – | – |
| CHEESECAKE FACTORY INC | NOTE 0.375% 6/1 | 7M | – | – |
| CARDLYTICS INC | NOTE 1.000% 9/1 | 8M | – | – |
| CEREVEL THERAPEUTICS HLDNG I | COM | 2M | 39K | PRELUDE CAPITAL MANAGEMENT, LLC |
| CONFLUENT INC | NOTE 1/1 | 3M | – | – |
| 3D SYS CORP DEL | NOTE 11/1 | 2M | – | – |
| DIGITALOCEAN HLDGS INC | NOTE 12/0 | 5M | – | – |
| EVENTBRITE INC | NOTE 0.750% 9/1 | 8M | – | – |
| ETSY INC | NOTE 0.250% 6/1 | 6M | – | – |
| ETSY INC | NOTE 0.125% 9/0 | 2M | – | – |
| EVERBRIDGE INC | NOTE 3/1 | 9M | – | – |
| EVERBRIDGE INC | NOTE 0.125%12/1 | 2M | – | – |
| FARO TECHNOLOGIES INC | NOTE 5.500% 2/0 | 3M | – | – |
| FUBOTV INC | NOTE 3.250% 2/1 | 3M | – | – |
| NUVASIVE INC | NOTE 0.375% 3/1 | 375K | – | – |
| HAEMONETICS CORP MASS | NOTE 3/0 | 2M | – | – |
| HAYNES INTL INC | COM NEW | 6M | 39K | PRELUDE CAPITAL MANAGEMENT, LLC |
| HESS CORP | COM | 738K | 5K | PRELUDE CAPITAL MANAGEMENT, LLC |
| HIBBETT INC | COM | 556K | 6K | PRELUDE CAPITAL MANAGEMENT, LLC |
| HEARTLAND FINL USA INC | COM | 6M | 125K | PRELUDE CAPITAL MANAGEMENT, LLC |
| LIBERTY LATIN AMERICA LTD | NOTE 2.000% 7/1 | 4M | – | – |
| MACATAWA BK CORP | COM | 3M | 202K | PRELUDE CAPITAL MANAGEMENT, LLC |
| MESA LABS INC | NOTE 1.375% 8/1 | 4M | – | – |
| NABORS INDS INC | NOTE 1.750% 6/1 | 2M | – | – |
| NATIONAL WESTN LIFE GROUP IN | CL A | 2M | 4K | PRELUDE CAPITAL MANAGEMENT, LLC |
| OIL STS INTL INC | NOTE 4.750% 4/0 | 2M | – | – |
| OVERSEAS SHIPHOLDING GROUP I | CL A NEW | 231K | 27K | PRELUDE CAPITAL MANAGEMENT, LLC |
| PACIRA BIOSCIENCES INC | NOTE 0.750% 8/0 | 776K | – | – |
| PELOTON INTERACTIVE INC | NOTE 2/1 | 3M | – | – |
| RBC BEARINGS INC | 5% CNV PFD SR A | 508K | 4K | – |
| THE REALREAL INC | NOTE 3.000% 6/1 | 716K | – | – |
| RINGCENTRAL INC | NOTE 3/0 | 334K | – | – |
| SHAKE SHACK INC | NOTE 3/0 | 4M | – | – |
| SILK RD MED INC | COM | 5M | 196K | PRELUDE CAPITAL MANAGEMENT, LLC |
| SPOTIFY USA INC | NOTE 3/1 | 953K | – | – |
| TRIPADVISOR INC | NOTE 0.250% 4/0 | 4M | – | – |
| TECHTARGET INC | NOTE 12/1 | 8M | – | – |
| ENCORE WIRE CORP | COM | 2M | 7K | PRELUDE CAPITAL MANAGEMENT, LLC |