QP GLOBAL FAMILY OFFICES, LLC
Adviser information for QP GLOBAL FAMILY OFFICES, 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 | 11 |
|---|---|
| Investment Advisory/Research | 7 |
| 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 | 1 | $2.2M |
| Non-Discretionary | 242 | $1.5B |
| Total | 243 | $1.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 14 | $1.4B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $2.2M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 6 | $114.6M |
| 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 | 5 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-112913 |
|---|---|
| SEC ERA File Number | 801-112913 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 294879 |
| Legal Entity Identifier | None |
Principal Office
115 EAST PUTNAM AVENUE3RD FLOOR
GREENWICH
CT
United States
Monday - Friday, 9AM - 5PM
Tel: 203-954-6214, Fax: None
Chief Compliance Officer
HELEN SHIN
CHIEF LEGAL OFFICER
115 EAST PUTNAM AVENUE
3RD FLOOR
GREENWICH
CT
United States
Tel:
203-893-9343
H****@************M
(Full email address available in API data)
Regulatory Contact
DAVID WARD
CHIEF OPERATING OFFICER
115 EAST PUTNAM AVENUE
3RD FLOOR
GREENWICH
CT
United States
Tel:
203-954-6214
D****@************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| QP CO-INVEST I, LLC | Private Equity Fund | $2.2M | $0.1M | 6 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WARREN, MICHAEL, JAMES | Individual | – | CHAIRMAN OF THE BOARD | 09/2018 | 10-25% |
| QP GFO HOLDINGS, LLC | Domestic Entity | – | OWNER | 06/2019 | > 75% |
| Shin, Helen, NMN | Individual | – | CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER | 01/2020 | < 5% |
| HALL, TIMOTHY, STEPHEN | Individual | – | HEAD OF FAMILY OFFICE SERVICES | 05/2023 | < 5% |
| HERMAN, ALEXANDER, LOUIS | Individual | – | HEAD OF FAMILY WEALTH STRATEGIES | 06/2019 | < 5% |
| MACMILLAN, BRENDAN, PAUL | Individual | – | CHIEF INVESTMENT OFFICER | 12/2017 | < 5% |
| WARD, DAVID, HENRY | Individual | – | CHIEF OPERATING OFFICER | 12/2017 | < 5% |
| PAULEY, PETER, SANFORD | Individual | – | CHIEF EXECUTIVE OFFICER | 11/2023 | < 5% |