DRI CAPITAL (US), INC.
Adviser information for DRI CAPITAL (US), INC. last updated from Form ADV on January 9th, 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 | Corporation |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 5 |
| 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 | 0 | $0 |
| Non-Discretionary | 1 | $368.4M |
| Total | 1 | $368.4M |
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 | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $368.4M |
| 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 | 100 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | INVESTMENT ADVICE TO OTHER INVESTMENT ADVISER |
|---|---|
| Compensation | COMPENSATED BASED ON COSTS INCURRED PLUS MARGIN |
Identifiers
| SEC RIA File Number | 801-120083 |
|---|---|
| SEC ERA File Number | 801-120083 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 311678 |
| Legal Entity Identifier | None |
Principal Office
200 VARICK STREETSUITE 801A
NEW YORK
NY
United States
Monday - Friday, 9AM-5PM
Tel: 416-272-2674, Fax: None
Chief Compliance Officer
HEATHER PALS
ASSOCIATE GENERAL COUNSEL
7250 - 100 KING STREET WEST
PO BOX 62
TORONTO, ONTARIO
Canada
Tel:
416-272-2674
H*@****************M
(Full email address available in API data)
Regulatory Contact
TARA LAU
COMPLIANCE DIRECTOR
7250 - 100 KING STREET WEST
PO BOX 62
TORONTO, ONTARIO
Canada
Tel:
416-303-5306
T***@****************M
(Full email address available in API data)
Industry Affiliates
| DRI CAPITAL INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DRI CAPITAL INC. | Foreign Entity | – | SHAREHOLDER | 06/2019 | > 75% |
| PERSIS HOLDINGS LTD. | Foreign Entity | ARARAT HOLDINGS LTD. | SHAREHOLDER | 05/2022 | > 75% |
| KHOSROWSHAHI, HASSAN | Individual | THE KHOSROWSHAHI JOINT SPOUSAL TRUST (2021) | TRUSTEE | 11/2021 | |
| KHOSROWSHAHI, BEHZAD | Individual | – | PRESIDENT | 06/2019 | < 5% |
| Khosrowshahi, Golnar | Individual | – | DIRECTOR AND VICE PRESIDENT | 04/2022 | < 5% |
| THE KHOSROWSHAHI JOINT SPOUSAL TRUST (2021) | Foreign Entity | PERSIS HOLDINGS LTD. | SHAREHOLDER | 11/2021 | > 75% |
| ARARAT HOLDINGS LTD. | Foreign Entity | DRI CAPITAL INC. | SHAREHOLDER | 06/2022 | > 75% |
| Pals, Heather, Christine | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2023 | < 5% |