MERCATOR INVESTMENT MANAGEMENT
MERCATOR INVESTMENT MANAGEMENT LLC Legal Name
Adviser information for MERCATOR INVESTMENT MANAGEMENT last updated from Form ADV on February 21st, 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 | Connecticut, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 1 |
| 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 | $23.0M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $23.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $23.0M |
| 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 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-113422 |
|---|---|
| SEC ERA File Number | 801-113422 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 296809 |
| Legal Entity Identifier | None |
Principal Office
144 BROOK HOLLOW LANESTAMFORD
CT
United States
Monday - Friday, 9 AM ET TO 5 PM ET
Tel: 646 764 4769, Fax: None
Chief Compliance Officer
JOEL SCHMITZ
CCO
500 DAMONTE RANCH PARKWAY
BLDG 700, UNIT 700
RENO
NV
United States
Tel:
6163286380
J***********@************M
(Full email address available in API data)
Regulatory Contact
BELENA VINCETTI
CONSULTANT
500 DAMONTE RANCH PARKWAY
BUILDING 700, UNIT 700
RENO
NV
United States
Tel:
414-312-4579
B**************@************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 |
|---|---|---|---|---|---|
| MERCATOR LLC | Domestic Entity | – | MEMBER | 03/2018 | > 75% |
| VAN CALOEN, ELIZABETH, JEAN | Individual | MERCATOR LLC | OWNER | 03/2012 | 25-50% |
| VAN CALOEN, HERVE, M | Individual | MERCATOR LLC | OWNER | 03/2012 | > 75% |
| VAN CALOEN, HERVE, M | Individual | – | CHIEF EXECUTIVE OFFICER | 10/2018 | < 5% |
| Schmitz, Joel, Christopher | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2022 | < 5% |