PARABELLUM CAPITAL LLC
Adviser information for PARABELLUM CAPITAL 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 | 18 |
|---|---|
| Investment Advisory/Research | 12 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 10 | $1.3B |
| Non-Discretionary | 1 | $101.4M |
| Total | 11 | $1.4B |
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 | 10 | $1.3B |
| 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 | <5 | $101.4M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 28 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-113609 |
|---|---|
| SEC ERA File Number | 801-113609 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 269874 |
| Legal Entity Identifier | None |
Principal Office
810 SEVENTH AVENUESUITE 1700
NEW YORK
NY
United States
Monday - Friday, 9:00 AM - 6:00 PM
Tel: 212-726-2640, Fax: None
Chief Compliance Officer
TAMARA CONWAY
810 SEVENTH AVENUE
SUITE 1700
NEW YORK
NY
United States
Tel:
212-217-6355
T******@****************M
(Full email address available in API data)
Regulatory Contact
DAVID ICIKSON
CHIEF OPERATING OFFICER
810 SEVENTH AVENUE
SUITE 1700
NEW YORK
NY
United States
Tel:
212-726-2640
D*******@****************M
(Full email address available in API data)
Industry Affiliates
| 9RPJ1 PARTNERS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| 9RPJ2 PARTNERS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FUND III FL PARTNERS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PBLM GENERAL PARTNER I, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PBLM GENERAL PARTNER II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PBLM GENERAL PARTNER III, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PBLM LEVERAGED RETURN GP III, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| PARABELLUM PARTNERS II, LP | Private Equity Fund | $465.9M | $5.0M | 122 |
| PARABELLUM PARTNERS III, LP | Private Equity Fund | $754.9M | $5.0M | 105 |
| PB MDL LP | Private Equity Fund | $66.7M | $5.0M | 8 |
| PBLM 2 LP | Private Equity Fund | $11.3M | $5.0M | 4 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BJG ALPHA INVESTORS, LP | Domestic Entity | – | OWNER | 04/2020 | 10-25% |
| SHAMS, HOWARD, NATHAN | Individual | – | MANAGING PRINCIPAL | 01/2012 | < 5% |
| ICIKSON, DAVID | Individual | – | CHIEF OPERATING OFFICER | 04/2014 | < 5% |
| KATZ, AARON, MARGOLIN | Individual | – | MANAGING PRINCIPAL | 01/2012 | < 5% |
| PARABELLUM FOUNDERS HOLDING, LLC | Domestic Entity | – | OWNER | 04/2020 | > 75% |
| SHAMS, HOWARD, NATHAN | Individual | PARABELLUM FOUNDERS HOLDING, LLC | MEMBER | 04/2020 | 50-75% |
| KATZ, AARON, MARGOLIN | Individual | PARABELLUM FOUNDERS HOLDING, LLC | MEMBER | 04/2020 | 50-75% |
| CONWAY, TAMARA, LYNN | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2023 | < 5% |