Hedge Fund Database

ENGINE NO.1 LLC

Adviser information for ENGINE NO.1 LLC last updated from Form ADV on March 31st, 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 33
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 3 $299.9M
Non-Discretionary 0 $0
Total 3 $299.9M

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 $299.9M
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 33

Services

Advisory Services Portfolio management for pooled investment vehicles
Compensation % of AUMPerformance-based fees

Identifiers

SEC RIA File Number 801-120068
SEC ERA File Number 801-120068
SEC CIK Numbers 1835549
SEC CRD Numbers 311998
Legal Entity Identifier 549300H6STS37HCKN612

Principal Office

710 SANSOME STREET
SAN FRANCISCO
CA
United States
Monday - Friday, 9AM - 5PM PST
Tel: 628-251-1222, Fax: None

Websites

engine1.com/ etf.engine1.com/ www.linkedin.com/company/engine-no-1/ twitter.com/engineno_1 medium.com/@engineno1 www.youtube.com/channel/uccuz1fa76a5yxt3dt59h_yw

Chief Compliance Officer

NATE SAINT-VICTOR
GENERAL COUNSEL
405 WEST 13TH ST.
NEW YORK
NY
United States
Tel: 628-251-1222
(Full email address available in API data)

Regulatory Contact

FITZANN REID
DEPUTY GENERAL COUNSEL & DEPUTY CHIEF COMPLIANCE OFFICER
710 SANSOME STREET
SAN FRANCISCO
CA
United States
Tel: 628-251-1222
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
ENGINE NO. 1 PERENNIAL TOTAL VALUE MASTER FUND, LP Hedge Fund $299.9M $2.0M 15

Control Persons

Name Type Entity Title Since Ownership
ENGINE NO. 1 LP Domestic Entity – MANAGING MEMBER 11/2020 > 75%
SWIFT, DAVID, PAINE Individual – CHIEF OPERATING OFFICER 11/2020 < 5%
GRANCIO, JENNIFER, LISA Individual – CHIEF EXECUTIVE OFFICER 11/2020 < 5%
ENGINE NO. 1 GP LLC Domestic Entity ENGINE NO. 1 LP GENERAL PARTNER 11/2020
JAMES, CHRISTOPHER, MEDLOCK Individual ENGINE NO. 1 LP LIMITED PARTNER 11/2020 > 75%
KIM-SUK, SANDRA, ANN Individual – CHIEF FINANCIAL OFFICER 05/2021 < 5%
SAINT-VICTOR, NICK, NMN Individual – GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER 05/2021 < 5%

No. Employees, Historic

50250202020212022202320245 on 12/1/20205 on 12/2/20205 on 12/11/202022 on 5/4/202122 on 6/10/202143 on 3/31/202243 on 4/29/202233 on 3/31/2023

RAUM, Historic

300M150M02021202220232024240000000 on 5/4/2021240000000 on 6/10/2021275259281 on 3/31/2022275259281 on 4/29/2022299882851 on 3/31/2023

No. Clients, Historic

1050202020212022202320240 on 12/1/20200 on 12/2/20200 on 12/11/20202 on 5/4/20212 on 6/10/20213 on 3/31/20223 on 4/29/20223 on 3/31/2023

Holdings

From latest 13F, filed August 12th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
APPLIED MATLS INC COM 12M 51K –
ASML HOLDING N V N Y REGISTRY SHS 10M 10K –
EXXON MOBIL CORP COM 8M 74K –
FIRST SOLAR INC COM 3M 12K –
FLUENCE ENERGY INC COM CL A 9M 495K –
HUBBELL INC COM 9M 26K –
MICROSOFT CORP COM 4M 10K –
NRG ENERGY INC COM NEW 6M 73K –
POWELL INDS INC COM 9M 61K –
VERTIV HOLDINGS CO COM CL A 18M 209K –
VISTRA CORP COM 7M 76K –