DEMOCRACY INVESTMENT MANAGEMENT LLC
Adviser information for DEMOCRACY INVESTMENT MANAGEMENT LLC last updated from Form ADV on March 15th, 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 | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| 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 | 1 | $7.4M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $7.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $7.4M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-120193 |
|---|---|
| SEC ERA File Number | 801-120193 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 312074 |
| Legal Entity Identifier | None |
Principal Office
3 HILARY WAYORINDA
CA
United States
BY APPOINTMENT ONLY, 8:00AM - 5:00PM
Tel: 415-933-0805, Fax: None
Chief Compliance Officer
GERY SADZEWICZ
CCO
5205 BROOKSHIRE ESTATES DRIVE
PLAINFIELD
IL
United States
Tel:
815-782-1250
G***@*************************M
(Full email address available in API data)
Regulatory Contact
CHRISTOPHER BROWNE
CHIEF INVESTMENT OFFICER
MORAGA RD
1480
MORAGA
CA
United States
Tel:
6505044287
C***********@***********************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 |
|---|---|---|---|---|---|
| DEMOCRACY INVESTMENTS LLC | Domestic Entity | – | OWNER | 12/2020 | > 75% |
| CANE, JULIETTE, MICHON | Individual | DEMOCRACY INVESTMENTS LLC | MANAGING MEMBER AND CHIEF EXECUTIVE OFFICER | 08/2020 | 50-75% |
| RIKOSKI, RICHARD, JAMES | Individual | DEMOCRACY INVESTMENTS LLC | MANAGING MEMBER AND CHIEF ECONOMIST | 08/2020 | 25-50% |
| BROWNE, CHRISTOPHER, PARSONS | Individual | DEMOCRACY INVESTMENTS LLC | MANAGING MEMBER AND CHIEF INVESTMENT OFFICER | 08/2020 | |
| CANE, JULIETTE, MICHON | Individual | – | CHIEF EXECUTIVE OFFICER | 12/2020 | < 5% |
| BROWNE, CHRISTOPHER, PARSONS | Individual | – | CHIEF INVESTMENT OFFICER | 12/2020 | < 5% |
| RIKOSKI, RICHARD, JAMES | Individual | – | CHIEF ECONOMIST | 12/2020 | < 5% |
| SADZEWICZ, GERY, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |