BROWNING CAPITAL MANAGEMENT LLC
Adviser information for BROWNING CAPITAL MANAGEMENT LLC last updated from Form ADV on January 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 | California, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 97 | $167.7M |
| Non-Discretionary | 0 | $0 |
| Total | 97 | $167.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 9 | $2.1M |
| HNW Individuals | 9 | $164.0M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $1.5M |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $208,550 |
| 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 | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)FAMILY OFFICE SERVICES |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-115034 |
|---|---|
| SEC ERA File Number | 801-115034 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 169271 |
| Legal Entity Identifier | None |
Principal Office
69380 DEER RIDGE ROADSISTERS
OR
United States
APPOINTMENT ONLY, APPOINTMENT ONLY
Tel: 949-439-7457, Fax: None
Websites
Chief Compliance Officer
SCOTT D. BROWNING
69380 DEER RIDGE ROAD
SISTERS
OR
United States
Tel:
949-439-7457
S****@*************M
(Full email address available in API data)
Regulatory Contact
CATHY VASILEV
CONSULTANT
1101 ARROWPOINT STE. 301
CEDAR PARK
TX
United States
Tel:
1-888-302-4594
C*******@*******************M
(Full email address available in API data)
Industry Affiliates
| SCOTT DOUGLAS BROWNING | Accountant or accounting firmLawyer or law firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BROWNING, SCOTT, DOUGLAS | Individual | – | MANAGING MEMBER AND CCO | 09/2013 | > 75% |