OLD SLIP REGISTERED INVESTMENT ADVISORS, LLC
Adviser information for OLD SLIP REGISTERED INVESTMENT ADVISORS, LLC last updated from Form ADV on February 16th, 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 | 1 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 6 | $36.0M |
| Non-Discretionary | 22 | $305.0M |
| Total | 28 | $341.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 12 | $36.0M |
| HNW Individuals | 3 | $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 | 16 | $305.0M |
| 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 | 101-250 |
Services
| Advisory Services | Financial planningPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| OLD SLIP REGISTERED INVESTMENT ADVISORS, LLC | OLD SLIP REGISTERED INVESTMENT ADVISORS, LLC |
Identifiers
| SEC RIA File Number | 801-113781 |
|---|---|
| SEC ERA File Number | 801-113781 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 297976 |
| Legal Entity Identifier | None |
Principal Office
40 WALL STREET FLOOR 28NEW YORK
NY
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 212.256.1334, Fax: 646.390.1341
Chief Compliance Officer
JAMES JOSEPH LUKEZIC
MANAGING MEMBER & CCO
40 WALL STREET FLOOR 28
NEW YORK
NY
United States
Tel:
212.256.1334
Fax:
646.390.1341
I***@*************M
(Full email address available in API data)
Industry Affiliates
| OLD SLIP BENEFITS AND INSURANCE SERVICES | Insurance company or agency |
| OLD SLIP CAPITAL MANAGEMENT, INC. | 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 |
|---|---|---|---|---|---|
| LUKEZIC, JAMES, JOSEPH | Individual | – | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | 05/2016 | > 75% |