TALL PINES CAPITAL, LLC
Adviser information for TALL PINES CAPITAL, LLC last updated from Form ADV on February 29th, 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 | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 73 | $17.4M |
| Non-Discretionary | 0 | $0 |
| Total | 73 | $17.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 24 | $4.3M |
| HNW Individuals | 26 | $13.2M |
| 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 | 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 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 17.4M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| TALL PINES MICRO CAP SMA | TALL PINES CAPITAL, LLC |
Identifiers
| SEC RIA File Number | 801-114900 |
|---|---|
| SEC ERA File Number | 801-114900 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 286089 |
| Legal Entity Identifier | None |
Principal Office
1010 JORIE BLVD.SUITE 144
OAK BROOK
IL
United States
Monday - Friday, 8:30 A.M. TO 5:00 P.M.
Tel: (630) 564-1348, Fax: None
Chief Compliance Officer
CHRISTOPHER PLAHM
MANAGING MEMBER
1010 JORIE BLVD.
SUITE 144
OAK BROOK
IL
United States
Tel:
(630) 564-1348
C*****@************M
(Full email address available in API data)
Regulatory Contact
SHEILA CHAMBERS
DIRECTOR OF CLIENT SERVICES
1010 JORIE BLVD.
SUITE 144
OAK BROOK
IL
United States
Tel:
(630) 230-1830
S********@****************M
(Full email address available in API data)
Industry Affiliates
| STONEBRIDGE WEALTH MANAGEMENT LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PLAHM, CHRISTOPHER, MICHAEL | Individual | – | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | 11/2016 | > 75% |