MLC ASSET MANAGEMENT US LLC
Adviser information for MLC ASSET MANAGEMENT US LLC last updated from Form ADV on September 25th, 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 | JUNE |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| 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 | 11 | $1.9B |
| Total | 11 | $1.9B |
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 | 11 | $1.9B |
| 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 | 100 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPROVIDE SUB-ADVISORY SERVICES |
|---|---|
| Compensation | Fixed fees |
Identifiers
| SEC RIA File Number | 801-121396 |
|---|---|
| SEC ERA File Number | 801-121396 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 314738 |
| Legal Entity Identifier | None |
Principal Office
SUITE 1660, ONE ROCKEFELLER PLAZANEW YORK
NY
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 617-953-1416, Fax: None
Chief Compliance Officer
JOSEPH DIBARTOLO
1345 AVENUE OF THE AMERICAS
2ND FLOOR
NEW YORK
NY
United States
Tel:
631 834-0081
J***************@***********************U
(Full email address available in API data)
Regulatory Contact
MAREK HERCHEL
CO-HEAD OF PRIVATE EQUITY
SUITE 1660, ONE ROCKEFELLER PLAZA
NEW YORK
NY
United States
Tel:
617-953-1416
M************@********M
(Full email address available in API data)
Industry Affiliates
| INTERMEDE INVESTMENT PARTNERS LIMITED | Other investment adviser, including financial planners |
| MLC ASSET MANAGEMENT PTY LTD | 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 |
|---|---|---|---|---|---|
| MLC ASSET MANAGEMENT HOLDINGS LIMITED | Foreign Entity | – | OWNER | 03/2021 | > 75% |
| DIBARTOLO, JOSEPH, MAURICE | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2021 | < 5% |
| MLC WEALTH LTD | Foreign Entity | MLC ASSET MANAGEMENT HOLDINGS LIMITED | OWNER | 02/2021 | > 75% |
| INSIGNIA FINANCIAL LIMITED | Foreign Entity | MLC WEALTH LTD | OWNER | 06/2021 | > 75% |
| HARDIMAN, JOSEPH, WILLIAM | Individual | – | MEMBER OF BOARD OF MANAGERS | 10/2021 | < 5% |
| JONES, SCOTT, CRAVEN | Individual | – | MEMBER OF BOARD OF MANAGERS | 10/2021 | < 5% |
| Khan, Amna, Sophia | Individual | – | MEMBER OF BOARD OF MANAGERS | 08/2022 | < 5% |