EQUINUM, LLC
Adviser information for EQUINUM, LLC 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 | New York, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| 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 | 135 | $335.0M |
| Non-Discretionary | 2 | $14.7M |
| Total | 137 | $349.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 33 | $9.2M |
| HNW Individuals | 59 | $185.7M |
| 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 | 8 | $23.4M |
| Charitable organizations | 28 | $126.1M |
| 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 | 7 | $5.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-116824 |
|---|---|
| SEC ERA File Number | 801-116824 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 304350 |
| Legal Entity Identifier | None |
Principal Office
3611 14TH AVENUE, SUITE 221BROOKLYN
NY
United States
Monday - Friday, 9AM TO 5PM
Tel: 718-480-5600, Fax: None
Chief Compliance Officer
JACOB HALBERSTAM
3611 14TH AVENUE
SUITE 221
BROOKLYN
NY
United States
Tel:
718-480-5600
J**********@**********M
(Full email address available in API data)
Regulatory Contact
ARON PINSON
FOUNDER AND CIO
3611 14TH AVENUE
SUITE 221
BROOKLYN
NY
United States
Tel:
718-480-5600
A******@**********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 |
|---|---|---|---|---|---|
| ROTH & COMPANY, LLP | Domestic Entity | – | CO-OWNER | 05/2019 | 50-75% |
| PINSON, ARON | Individual | – | CHIEF INVESTMENT OFFICER / FOUNDER | 05/2019 | 25-50% |
| WAXLER, ZACHARIA | Individual | – | INVESTMENT ADVISER REPRESENTATIVE | 05/2019 | 10-25% |
| HALBERSTAM, JACOB | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2019 | < 5% |
| ROTH, ABRAHAM | Individual | ROTH & COMPANY, LLP | FOUNDER | 01/1978 | 50-75% |