BANTAM INC.
Adviser information for BANTAM INC. last updated from Form ADV on June 26th, 2023. 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 | New York, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 5 | $10.2M |
| Non-Discretionary | 1 | $1.1M |
| Total | 6 | $11.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $11.3M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesPerformance-based feesFLAT FEE |
Identifiers
| SEC RIA File Number | 801-118447 |
|---|---|
| SEC ERA File Number | 801-118447 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 288075 |
| Legal Entity Identifier | None |
Principal Office
107 EAST MEADOWBROOK LANESTAATSBURG
NY
United States
NOT APPLICABLE - OFFICE VISITS BY APPOINTMENT ONLY, NOT APPLICABLE - OFFICE VISITS BY APPOINTMENT ONLY
Tel: (845) 605-1007, Fax: N/A
Chief Compliance Officer
JOHN JOSEPH DUVAL, JR.
CEO & CHIEF COMPLIANCE OFFICER
107 EAST MEADOWBROOK LANE
STAATSBURG
NY
United States
Tel:
(845) 605-1007
Fax:
N/A
J***@******M
(Full email address available in API data)
Industry Affiliates
| BANTAM MANAGEMENT LLC | Sponsor, GP, manager of pooled investment vehicles |
| COMPOUNDER MANAGEMENT LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| BANTAM COMPOUNDER FUND LLC | Hedge Fund | $11.4M | $1.0M | 4 |
| BANTAM DIGITAL ASSETS FUND LLC | Hedge Fund | $0.0M | $0.1M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DUVAL, JOHN, JOSEPH | Individual | – | CEO & CHIEF COMPLIANCE OFFICER | 02/2017 | > 75% |