RIDGELINE RESEARCH LLC
Adviser information for RIDGELINE RESEARCH LLC last updated from Form ADV on February 20th, 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 |
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Fiscal Year End | DECEMBER |
Legal Location | Delaware, Other |
Employees
Total Number of Employees | 2 |
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Investment Advisory/Research | 1 |
Registered Broker-Dealer Representatives | 1 |
Registered State Investment Advisers | 1 |
Licensed Agents of an Insurance Company | 0 |
No. of Firms/People that Solicit Clients | 0 |
RAUM
Provides Management of Securities Portfolios | Yes |
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Type | Accounts | RAUM |
---|---|---|
Discretionary | 1 | $80.3M |
Non-Discretionary | 0 | $0 |
Total | 1 | $80.3M |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 0 | $0 |
HNW Individuals | 0 | $0 |
Banking or thrift institutions | 0 | $0 |
Investment companies | 1 | $80.3M |
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 |
No. of Financial Planning Clients | 0 |
Services
Advisory Services | Portfolio management for investment companies |
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Compensation | % of AUM |
Identifiers
SEC RIA File Number | 801-117858 |
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SEC ERA File Number | 801-117858 |
SEC CIK Numbers | None |
SEC CRD Numbers | 300807 |
Legal Entity Identifier | None |
Principal Office
14961 FINEGAN FARM DRDARNESTOWN
MD
United States
Monday - Friday, 9 AM - 5PM
Tel: 301-685-7171, X 7121, Fax: None
Chief Compliance Officer
WILLIAM FLAIG
14961 FINEGAN FARM DR.
DARNESTOWN
MD
United States
Tel:
301-685-7171, X 7121
W*****@********************M
(Full email address available in API data)
Industry Affiliates
None |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
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None
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
FLAIG, WILLIAM, EDWARD | Individual | – | CHIEF EXECUTIVE OFFICER AND CCO | 06/2016 | 50-75% |
CARTER, THOMAS, ANTHONY | Individual | – | PRESIDENT | 11/2019 | 10-25% |