SKYROCK INVESTMENT MANAGEMENT LLC
Adviser information for SKYROCK INVESTMENT MANAGEMENT LLC last updated from Form ADV on March 13th, 2023. 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 | North Carolina, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 1 |
| 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 | 1 | $26.1M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $26.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $26.1M |
| 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 investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-117333 |
|---|---|
| SEC ERA File Number | 801-117333 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 305408 |
| Legal Entity Identifier | None |
Principal Office
4801 GLENWOOD AVENUESUITE 200
RALEIGH
NC
United States
Monday - Friday, 8:30AM TO 5:00PM
Tel: (919) 381-7845, Fax: None
Websites
Chief Compliance Officer
ANDREW CHICA
PO BOX 847
MORRISVILLE
NC
United States
Tel:
919-646-4005
A********@********************M
(Full email address available in API data)
Regulatory Contact
BRAXTON WALL
PRINCIPAL AND MANAGING MEMBER
4801 GLENWOOD AVENUE
SUITE 200
RALEIGH
NC
United States
Tel:
919-381-7845
B****@************M
(Full email address available in API data)
Industry Affiliates
| DIO MANAGEMENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WALL, BRAXTON, CRAVEN | Individual | – | PRINCIPAL / MANAGING MEMBER | 06/2019 | > 75% |
| CHICA, ANDREW, PAUL | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2022 | < 5% |