HPE CAPITAL MANAGEMENT II, LLC
Adviser information for HPE CAPITAL MANAGEMENT II, LLC last updated from Form ADV on March 22nd, 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 | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 5 | $455.7M |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $455.7M |
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 | 5 | $455.7M |
| 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 pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-117101 |
|---|---|
| SEC ERA File Number | 801-117101 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 283607 |
| Legal Entity Identifier | None |
Principal Office
5905 E. GALBRAITH ROADSUITE 9000
CINCINNATI
OH
United States
Monday - Friday, 8:15 AM - 5:00 PM
Tel: 513-745-9200, Fax: 513-984-7063
Chief Compliance Officer
PHILIP G. RIOLA
EXECUTIVE DIRECTOR, OFFICE OF THE CHAIRMAN
233 WILSHIRE BLVD.
SUITE 900
SANTA MONICA
CA
United States
Tel:
310-393-0600
P*****@**********************M
(Full email address available in API data)
Industry Affiliates
| HAUSER CAPITAL MANAGEMENT II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| HAUSER CAPITAL MARKETS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| HAUSER RETIREMENT SOLUTIONS 2, LLC | Other investment adviser, including financial plannersPension consultant |
| HAUSER RETIREMENT SOLUTIONS, LLC | Other investment adviser, including financial plannersPension consultant |
| HAUSER, INC. | Insurance company or agency |
| HPE INVESTMENT 3.5, LLC | Sponsor, GP, manager of pooled investment vehicles |
| HPE INVESTMENT III, LLC | Sponsor, GP, manager of pooled investment vehicles |
| HPE INVESTMENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| HAUSER CAPITAL PARTNERS, LLC | Private Equity Fund | $8.7M | $0.3M | 27 |
| HAUSER PRIVATE EQUITY CORE FUND II, LLC | Private Equity Fund | $88.1M | $1.0M | 55 |
| HAUSER PRIVATE EQUITY CORE FUND III, LLC | Private Equity Fund | $175.7M | $1.0M | 89 |
| HAUSER PRIVATE EQUITY CORE FUND IV-Q, LLC | Private Equity Fund | $139.9M | $1.0M | 111 |
| HPE PRIVATE EQUITY CORE FUND 3.5, LLC | Private Equity Fund | $43.3M | $1.0M | 15 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HAUSER, MARK, JOHN | Individual | – | PARTNER/MEMBER | 09/2015 | > 75% |
| SWANSON, PAUL, MICHAEL | Individual | – | PARTNER/MEMBER | 09/2015 | 10-25% |
| RIOLA, PHILIP, GEORGE | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2020 | < 5% |
| WEHBY, JASON, MATTHEW | Individual | – | CONTRACT, PART-TIME, CFO | 01/2021 | < 5% |