ODEON CAPITAL ADVISORS LLC
Adviser information for ODEON CAPITAL ADVISORS LLC last updated from Form ADV on March 22nd, 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 | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 4 |
| 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 | 21 | $37.0M |
| Non-Discretionary | 6 | $576.5M |
| Total | 27 | $613.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $945,054 |
| HNW Individuals | 14 | $24.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $10.1M |
| 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 | 7 | $578.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 50 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-119007 |
|---|---|
| SEC ERA File Number | 801-119007 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 307619 |
| Legal Entity Identifier | 984500LC7ADAAR6EE174 |
Principal Office
750 LEXINGTON AVENUENEW YORK
NY
United States
Monday - Friday, 9AM TO 4:30PM
Tel: 212-230-5880, Fax: None
Websites
Chief Compliance Officer
PETER SASAKI
MANAGING MEMBER
750 LEXINGTON AVENUE
NEW YORK
NY
United States
Tel:
212-230-5880
P****@****************M
(Full email address available in API data)
Regulatory Contact
MARK KNOLL
GENERAL COUNSEL
750 LEXINGTON AVENUE
NEW YORK
NY
United States
Tel:
212-257.5047
M*****@***********M
(Full email address available in API data)
Industry Affiliates
| ODEON CAPITAL GROUP LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ODEON CREDIT STRATEGIES FUND, LP | Hedge Fund | $10.1M | $1.0M | 14 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SCHWARTZBERG, EVAN | Individual | – | MEMBER | 08/2019 | 25-50% |
| VAN ALSTYNE, MATHEW, HADLOCK | Individual | – | MEMBER | 08/2019 | 10-25% |
| SASAKI, PETER, GORDON | Individual | – | MANAGING MEMBER AND CCO | 01/2019 | 50-75% |