HARKNESS CAPITAL MANAGEMENT LLC
Adviser information for HARKNESS CAPITAL MANAGEMENT LLC last updated from Form ADV on March 25th, 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 | 11 |
|---|---|
| Investment Advisory/Research | 11 |
| 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 | 2 | $158.4M |
| Non-Discretionary | 2 | $140.9M |
| Total | 4 | $299.4M |
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 | 4 | $299.4M |
| 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 | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based feesSERVICE LEVEL FEES FROM PORTFOLIO COMPANIES |
Identifiers
| SEC RIA File Number | 801-119085 |
|---|---|
| SEC ERA File Number | 801-119085 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 289882 |
| Legal Entity Identifier | None |
Principal Office
475 FIFTH AVENUE20TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9AM - 6PM
Tel: (212) 514-0023, Fax: None
Websites
Chief Compliance Officer
WILLIAM M. RUSTUM
GENERAL COUNSEL
475 FIFTH AVENUE, 20TH FLOOR
NEW YORK
NY
United States
Tel:
(212) 514-0023
W******@******************M
(Full email address available in API data)
Industry Affiliates
| HARKNESS CAPITAL PARTNERS GP LP | Sponsor, GP, manager of pooled investment vehicles |
| HCP I GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| HCP II GP LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| HARKNESS CAPITAL PARTNERS I LP | Private Equity Fund | $107.9M | $0.0M | 27 |
| HARKNESS CAPITAL PARTNERS II LP | Private Equity Fund | $50.5M | $1.0M | 25 |
| HARKNESS CYCLONE CO-INVESTMENT LP | Private Equity Fund | $25.8M | $0.0M | 40 |
| HCP FRESH INVESTORS LP | Private Equity Fund | $115.2M | $0.0M | 21 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DARDANI, EDWARD, VINCENT | Individual | – | MANAGING MEMBER | 04/2014 | > 75% |
| DARDANI, MARY, LYONS | Individual | – | MEMBER | 01/2020 | 5-10% |
| RUSTUM, WILLIAM, MICHAEL | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2022 | < 5% |