FUND MANAGEMENT AT ENGINE NO. 1 LLC
Adviser information for FUND MANAGEMENT AT 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 | 4 |
| 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 | 2 | $448.6M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $448.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $448.6M |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Principal Office
710 SANSOME STREETSAN FRANCISCO
CA
United States
Monday - Friday, 9AM - 5PM PST
Tel: 628-251-1222, Fax: None
Chief Compliance Officer
FITZANN REID
HEAD OF LEGAL ETFS
710 SANSOME STREET
SAN FRANCISCO
CA
United States
Tel:
628-251-1222
F***@**********M
(Full email address available in API data)
Industry Affiliates
| CAPITAL MANAGEMENT AT ENGINE NO. 1 LLC | Other investment adviser, including financial planners |
| CAPITAL MANAGEMENT GP AT ENGINE NO. 1 LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| ENGAGEMENT AT ENGINE NO. 1 LLC | Other investment adviser, including financial planners |
| ENGINE NO.1 LLC | Other investment adviser, including financial planners |
| THE FOUNDRY AT ENGINE NO. 1 LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ENGINE NO. 1 LLC | Domestic Entity | – | MANAGING MEMBER | 11/2020 | > 75% |
| ENGINE NO. 1 LP | Domestic Entity | ENGINE NO. 1 LLC | MANAGING MEMBER | 11/2020 | > 75% |
| 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% |
| GRANCIO, JENNIFER, LISA | Individual | – | CHIEF EXECUTIVE OFFICER | 11/2020 | < 5% |
| SWIFT, DAVID, PAINE | Individual | – | CHIEF OPERATING OFFICER | 11/2020 | < 5% |
| KIM-SUK, SANDRA, ANN | Individual | – | CHIEF FINANCIAL OFFICER | 05/2021 | < 5% |
| SAINT-VICTOR, NICK, NMN | Individual | – | GENERAL COUNSEL | 05/2021 | < 5% |
| REID, FITZANN, RUBY | Individual | – | HEAD OF LEGAL ETFS AND CHIEF COMPLIANCE OFFICER | 03/2023 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed February 13th, 2024 for period ending December 31st, 2023
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| No remaining holdings | Com | 0 | 0 | – |