LIQUID CAPITAL MANAGEMENT LLC
Adviser information for LIQUID CAPITAL MANAGEMENT LLC last updated from Form ADV on March 29th, 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 | 6 |
| Registered Broker-Dealer Representatives | 1 |
| 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 | 3 | $255.8M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $255.8M |
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 | 3 | $255.8M |
| 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 fees |
Identifiers
| SEC RIA File Number | 801-119163 |
|---|---|
| SEC ERA File Number | 801-119163 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 299577 |
| Legal Entity Identifier | None |
Principal Office
1010 B STREETSUITE 430
SAN RAFAEL
CA
United States
Monday - Friday, 8AM - 6PM
Tel: 707-616-4901, Fax: None
Chief Compliance Officer
ANNE KATHERINE WOODWORTH
VICE PRESIDENT, LEGAL
1010 B STREET
SUITE 430
SAN RAFAEL
CA
United States
Tel:
707-616-4901
A*********@**************M
(Full email address available in API data)
Industry Affiliates
| ARCHER VENTURE ACQUISITIONS I, LLC | Sponsor, GP, manager of pooled investment vehicles |
| ARCHER VENTURE CAPITAL II GP, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| ARCHER VENTURE CAPITAL III GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| ARCHER VENTURE CAPITAL MANAGEMENT LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| ARCHER VENTURE MANAGEMENT, INC. | Other investment adviser, including financial planners |
| ENVISAGE PARTNERS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| LIQUID STOCK I GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| LIQUID STOCK II GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RAINMAKER SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| LIQUID II SPV 1, LP | Hedge Fund | $30.6M | $15.0M | 2 |
| LIQUID STOCK I, LP | Hedge Fund | $118.4M | $0.0M | 23 |
| LIQUID STOCK II, LP | Hedge Fund | $42.5M | $0.3M | 24 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LESAGE, JEFFREY, ALDEN | Individual | – | MANAGER | 10/2018 | < 5% |
| MARTIN, GREGORY, NEILL | Individual | – | MANAGER | 10/2018 | < 5% |
| LESAGE, JEFFREY, ALDEN | Individual | JEFFREY AND SYLVIA LE SAGE FAMILY TRUST | TRUSTEE OF JEFFREY AND SYLVIA LE SAGE FAMILY TRUST | 06/2002 | |
| MARTIN, GREGORY, NEILL | Individual | THE BIRCOLL / MARTIN FAMILY TRUST | TRUSTEE OF THE BIRCOLL / MARTIN FAMILY TRUST | 05/2013 | |
| JEFFREY AND SYLVIA LE SAGE FAMILY TRUST | Domestic Entity | – | MEMBER | 01/2019 | 25-50% |
| THE BIRCOLL / MARTIN FAMILY TRUST | Domestic Entity | – | MEMBER | 01/2019 | 25-50% |
| WOODWORTH, ANNE, KATHERINE | Individual | – | CCO, VP OF LEGAL | 01/2022 | < 5% |
| PITTI FAMILY TRUST | Domestic Entity | – | MEMBER | 07/2021 | 25-50% |
| PITTI, ROBERT, DONALD | Individual | PITTI FAMILY TRUST | TRUSTEE OF THE PITTI FAMILY TRUST | 05/2019 | |
| LESAGE, JEFFREY, ALDEN | Individual | – | TRUSTEE OF JEFFREY AND SYLVIA LE SAGE FAMILY TRUST | 06/2002 | < 5% |
| PITTI, ROBERT, DONALD | Individual | – | TRUSTEE OF PITTI FAMILY TRUST | 05/2019 | < 5% |
| MARTIN, GREGORY, NEILL | Individual | – | TRUSTEE OF THE BIRCOLL / MARTIN FAMILY TRUST | 05/2013 | < 5% |