SOUTHCOL ADVISORS
SOUTHCOL ADVISORS, LLC Legal Name
Adviser information for SOUTHCOL ADVISORS last updated from Form ADV on March 18th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 25 | $126.9M |
| Non-Discretionary | 0 | $0 |
| Total | 25 | $126.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $16.2M |
| 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 | <5 | $110.7M |
| 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 individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-118783 |
|---|---|
| SEC ERA File Number | 801-118783 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 308154 |
| Legal Entity Identifier | None |
Principal Office
15910 OLD 41 NORTHSUITE 220
NAPLES
FL
United States
Monday - Friday, 9 AM - 5 PM
Tel: 239-228-8747, Fax: None
Chief Compliance Officer
VICTORIA DELUCIA
194 MAIN STREET
P.O. BOX 402
SALISBURY
CT
United States
Tel:
860-596-8132
V***************@*******************M
(Full email address available in API data)
Regulatory Contact
JAMES LUMBERG
FOUNDER AND PRINCIPAL
15910 OLD 41 NORTH
SUITE 220
NAPLES
FL
United States
Tel:
239-228-8747
J************@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LUMBERG, JAMES, WINFIELD | Individual | – | FOUNDER AND PRINCIPAL | 04/2020 | > 75% |
| DELUCIA, VICTORIA, LYNN | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2020 | < 5% |