WORTHINGTON CAPITAL MANAGEMENT, LLC
Adviser information for WORTHINGTON CAPITAL MANAGEMENT, LLC last updated from Form ADV on March 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 |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| 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 | 2 | $30.7M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $30.7M |
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 | 2 | $30.7M |
| 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 | 50 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-118893 |
|---|---|
| SEC ERA File Number | 801-118893 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 305391 |
| Legal Entity Identifier | None |
Principal Office
6075 POPLAR AVENUESUITE 221
MEMPHIS
TN
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: 901-701-8370, Fax: 901-498-6301
Chief Compliance Officer
CRAIG SNEED
6075 POPLAR AVENUE
SUITE 221
MEMPHIS
TN
United States
Tel:
901-498-6300
C****@*****************************M
(Full email address available in API data)
Industry Affiliates
| SG GP I LLC | Sponsor, GP, manager of pooled investment vehicles |
| STEEL GROVE CAPITAL ADVISORS, LLC | Other investment adviser, including financial planners |
| STEEL GROVE REALTY ADVISORS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| WORTHINGTON CONVERGENCE FUND (GP) LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| WORTHINGTON CONVERGENCE MASTER FUND LIMITED | Hedge Fund | $30.7M | $0.3M | 52 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SANSOM, STEVEN, WAYNE | Individual | – | MEMBER | 01/2020 | > 75% |
| SNEED, CRAIG, HEPPEL | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2023 | < 5% |
| MARTIN, WILLIAM | Individual | – | CHIEF INVESTMENT OFFICER | 03/2023 | < 5% |