GALVEN CAPITAL MANAGEMENT, LLC
Adviser information for GALVEN CAPITAL MANAGEMENT, LLC last updated from Form ADV on June 9th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| 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 | 4 | $3.4M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $3.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $2.6M |
| 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 | <5 | $847,210 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMTPMM SOFTWARE |
Identifiers
| SEC RIA File Number | 801-119122 |
|---|---|
| SEC ERA File Number | 801-119122 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 304843 |
| Legal Entity Identifier | None |
Principal Office
507 W COLORADO AVETELLURIDE
CO
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 610-565-9047, Fax: N/A
Websites
Chief Compliance Officer
JAMES CHARLES MCDONALD
CHIEF COMPLIANCE OFFICER
507 W COLORADO AVE
TELLURIDE
CO
United States
Tel:
610-565-9047
Fax:
N/A
J**@************M
(Full email address available in API data)
Regulatory Contact
GREGGORY JOHN FLINN
CHIEF INVESTMENT OFFICER & IAR
507 W COLORADO AVE
TELLURIDE
CO
United States
Tel:
610-565-9047
Fax:
N/A
G****@****************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 |
|---|---|---|---|---|---|
| GALVEN INVESTMENT STRATEGIES, LLC | Domestic Entity | – | MEMBER | 05/2019 | > 75% |
| FLINN, GREGGORY, JOHN | Individual | – | CHIEF INVESTMENT OFFICER | 06/2020 | < 5% |
| CROWD FACILITATORS, LLC | Domestic Entity | GALVEN INVESTMENT STRATEGIES, LLC | MEMBER | 05/2019 | 50-75% |
| McDonald, James, Charles | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2020 | < 5% |
| FLINN, GREGGORY, JOHN | Individual | GALVEN INVESTMENT STRATEGIES, LLC | CIO | 06/2020 | |
| McDonald, James, Charles | Individual | GALVEN INVESTMENT STRATEGIES, LLC | CCO | 07/2020 | 25-50% |
| McDonald, James, Charles | Individual | CROWD FACILITATORS, LLC | OWNER | 05/2019 | > 75% |