LEGALIST
LEGALIST, INC. Legal Name
Adviser information for LEGALIST last updated from Form ADV on February 13th, 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 | Corporation |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 34 |
|---|---|
| Investment Advisory/Research | 13 |
| 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 | 11 | $819.7M |
| Non-Discretionary | 0 | $0 |
| Total | 11 | $819.7M |
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 | 11 | $819.7M |
| 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 | 12 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMCARRIED INTEREST |
Identifiers
| SEC RIA File Number | 801-117830 |
|---|---|
| SEC ERA File Number | 801-117830 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 297876 |
| Legal Entity Identifier | None |
Principal Office
2700 19TH STREETSAN FRANCISCO
CA
United States
Monday - Friday, 9-5
Tel: 415-570-7878, Fax: None
Websites
Chief Compliance Officer
MICHAEL LI
DIRECTOR OF FINANCE
2700 19TH STREET
SAN FRANCISCO
CA
United States
Tel:
4156893713
M******@***********M
(Full email address available in API data)
Industry Affiliates
| COMPOUND PLANNING | Other investment adviser, including financial planners |
| LEGALIST DIP GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| LEGALIST DIP II GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| LEGALIST GP II, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| LEGALIST GP III, LLC | Sponsor, GP, manager of pooled investment vehicles |
| LEGALIST GP, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| LEGALIST SPV GP I, LLC | Sponsor, GP, manager of pooled investment vehicles |
| LEGALIST SPV GP II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| LEGALIST SPV GP III, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| LEGALIST DIP FUND I, LP | DIP FINANCE FUND | $48.5M | $0.5M | 34 |
| LEGALIST DIP FUND II, LP | DIP FINANCE FUND | $51.3M | $1.0M | 35 |
| LEGALIST DIP OFFSHORE FUND I, LTD | DIP FINANCE FUND | $44.8M | $0.5M | 4 |
| LEGALIST DIP OFFSHORE FUND II, LTD | DIP FINANCE FUND | $51.7M | $1.0M | 13 |
| LEGALIST DIP SPV II, LP | DIP FINANCE FUND | $25.8M | $1.0M | 3 |
| LEGALIST FUND I, L.P. | LITIGATION FINANCE FUND | $12.6M | $0.1M | 14 |
| LEGALIST FUND II, L.P. | LITIGATION FINANCE FUND | $113.5M | $0.5M | 38 |
| LEGALIST FUND III, LP | LITIGATION FINANCE FUND | $304.7M | $0.5M | 76 |
| LEGALIST SPV FUND I, LP | LITIGATION FINANCE FUND | $60.7M | $30.0M | 1 |
| LEGALIST SPV II, LP | LITIGATION FINANCE FUND | $4.8M | $3.5M | 1 |
| LEGALIST SPV III, LP | GOVERNMENT RECEIVABLE | $101.2M | $1.0M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SHANG, YINGCHONG | Individual | – | CHIEF EXECUTIVE OFFICER | 03/2016 | 25-50% |
| HAIGH, CHRISTIAN, GWILYM BENEDICT | Individual | – | CHIEF INVESTMENT OFFICER | 03/2016 | 25-50% |
| Y COMBINATOR INVESTMENTS, LLC SERIES S16 | Domestic Entity | – | INVESTOR | 05/2016 | 5-10% |
| RICE, BRIAN, THOMAS | Individual | – | CHIEF OPERATING OFFICER | 06/2020 | < 5% |
| LI, MICHAEL, C | Individual | – | CHIEF COMPLIANCE OFFICER/DIRECTOR OF FINANCE | 12/2021 | < 5% |