GIVERNY CAPITAL ASSET MANAGEMENT
GIVERNY CAPITAL ASSET MANAGEMENT LLC Legal Name
Adviser information for GIVERNY CAPITAL ASSET MANAGEMENT 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| 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 | 191 | $368.8M |
| Non-Discretionary | 0 | $0 |
| Total | 191 | $368.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 69 | $38.4M |
| HNW Individuals | 113 | $312.8M |
| 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 | 1 | $15.1M |
| 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 | 8 | $2.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-118218 |
|---|---|
| SEC ERA File Number | 801-118218 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 306473 |
| Legal Entity Identifier | None |
Principal Office
600 MADISON AVENUE, #2300NEW YORK
NY
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 646-669-8950, Fax: None
Chief Compliance Officer
DAVID POPPE
PRESIDENT
600 MADISON AVENUE, #2300
NEW YORK
NY
United States
Tel:
646-669-8950
D*****@*****************M
(Full email address available in API data)
Industry Affiliates
| GIVERNY CAPITAL | Other investment adviser, including financial planners |
| GIVERNY CAPITAL ADVISORS | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GIVERNY CAPITAL MANAGEMENT INC. | Domestic Entity | – | MEMBER | 12/2019 | 50-75% |
| POPPE HENDERSON, LLC | Domestic Entity | – | MEMBER | 12/2019 | 50-75% |
| POPPE, DAVID, MARTIN | Individual | POPPE HENDERSON, LLC | MEMBER | 11/2019 | > 75% |
| MUSEE GIVERNY CAPITAL INC. | Foreign Entity | GIVERNY CAPITAL MANAGEMENT INC. | SHAREHOLDER | 09/2017 | > 75% |
| ROCHON, FRANCOIS | Individual | MUSEE GIVERNY CAPITAL INC. | SHAREHOLDER | 01/2007 | > 75% |
| POPPE, DAVID, MARTIN | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 01/2020 | < 5% |