ESOTERICA CAPITAL LLC
Adviser information for ESOTERICA CAPITAL LLC last updated from Form ADV on March 7th, 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 | OCTOBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| 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 | $38.7M |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $38.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $14.2M |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $24.6M |
| 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 | 100 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Principal Office
675 WEST 59TH STREET, SUITE 903NEW YORK
NY
United States
Monday - Friday, 9:00 AM - 5:00PM
Tel: 860-543-3942, Fax: None
Websites
Chief Compliance Officer
QINDONG LIU
CEO
605 W 42ND ST
APT 52R
NEW YORK
NY
United States
Tel:
8605433942
B********@***************M
(Full email address available in API data)
Regulatory Contact
WENJIE CHEN
COO
675 WEST 59TH STREET, SUITE 903
NEW YORK
NY
United States
Tel:
4068805256
W**********@***************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 |
|---|---|---|---|---|---|
| REN, YANG | Individual | – | DIRECTOR OF RESEARCH, PORTFOLIO MANAGER, SENIOR RESEARCH ANALYST | 08/2020 | 10-25% |
| Wang, Wei | Individual | – | SHAREHOLDER | 08/2019 | 10-25% |
| TREHAN, KARAN | Individual | – | SHAREHOLDER | 08/2019 | 10-25% |
| LIU, QINDONG | Individual | – | CEO, CIO, CCO | 08/2019 | 25-50% |
| WANG, DIANA, F | Individual | – | SHAREHOLDER | 08/2019 | 10-25% |