EXCELSIOR
EXCELSIOR INVESTMENT ADVISORS, LLC Legal Name
Adviser information for EXCELSIOR last updated from Form ADV on February 23rd, 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 | New York, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 57 | $14.9M |
| Non-Discretionary | 2 | $295,560 |
| Total | 59 | $15.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $1.6M |
| HNW Individuals | 6 | $11.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $2.3M |
| 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 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers)PARTICIPANT RETIREMENT PLAN CONSULTTING. |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-120085 |
|---|---|
| SEC ERA File Number | 801-120085 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 311850 |
| Legal Entity Identifier | None |
Principal Office
135 PINELAWN ROAD,SUITE 110 SOUTH
MELVILLE
NY
United States
Monday - Friday, 9 A.M. - 5 P.M.
Tel: 516-765-7400, Fax: 516-765-7410
Chief Compliance Officer
STEPHEN PERRINO
COO
135 PINELAWN ROAD
SUITE 110 SOUTH
MELVILLE
NY
United States
Tel:
516-504-3104
Fax:
516-765-7410
S*******@**************M
(Full email address available in API data)
Industry Affiliates
| EXCELSIOR GP LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| EXCELSIOR MANAGEMENT, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| EXCELSIOR OPPORTUNITY MANAGEMENT, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| FCCI CONSULTING, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| EXCELSIOR ENDURANCE FUND LP | Hedge Fund | $2.3M | $0.5M | 8 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FRIEDRICH PERRINO LLC | Domestic Entity | – | HOLDING COMPANY | 11/2020 | > 75% |
| FRIEDRICH, CARL, AUGUST | Individual | – | CIO | 11/2020 | < 5% |
| PERRINO, STEPHEN, T | Individual | – | COO & CCO | 11/2020 | < 5% |
| FRIEDRICH, CARL, AUGUST | Individual | FRIEDRICH PERRINO LLC | SHAREHOLDER | 11/2020 | 50-75% |
| PERRINO, STEPHEN, T | Individual | FRIEDRICH PERRINO LLC | SHAREHOLDER | 11/2020 | 50-75% |