RED SWAN PRIVATE CLIENT
REDSWAN PC, INC Legal Name
Adviser information for RED SWAN PRIVATE CLIENT last updated from Form ADV on March 27th, 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 | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| 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 |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 13 | $2.5B |
| Total | 13 | $2.5B |
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 | 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 | 13 | $2.5B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 8 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSUBADVISER SERVICES |
|---|---|
| Compensation | ONE TIME CONSULTING FEE |
Identifiers
| SEC RIA File Number | 801-118188 |
|---|---|
| SEC ERA File Number | 801-118188 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 307278 |
| Legal Entity Identifier | None |
Principal Office
4201 MAIN STSUITE 300
HOUSTON
TX
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 713-360-7928, Fax: N/A
Chief Compliance Officer
CHARLES SMULEVITZ
4201 MAIN ST
SUITE 300
HOUSTON
TX
United States
Tel:
516-286-5064
Fax:
N/A
C*********@*********O
(Full email address available in API data)
Regulatory Contact
EDWARD IKEM NWOKEDI
CEO
4201 MAIN ST
SUITE 300
HOUSTON
TX
United States
Tel:
713-240-4589
Fax:
N/A
E*@*********O
(Full email address available in API data)
Industry Affiliates
| REDSWAN MARKETS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Nwokedi, Edward, Ikem | Individual | – | CEO | 02/2017 | > 75% |
| Chiosa, Cyril | Individual | – | SHAREHOLDER | 04/2018 | 5-10% |
| VA INNOVATION HOLDINGS | Domestic Entity | – | SHAREHOLDER | 10/2016 | 5-10% |
| SMULEVITZ, CHARLES, DAVID | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2023 | < 5% |