EPOCH CAPITAL, US
EPOCH CAPITAL, US, LLC Legal Name
Adviser information for EPOCH CAPITAL, US last updated from Form ADV on September 28th, 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 | New York, United States |
Employees
| Total Number of Employees | 16 |
|---|---|
| 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 | 3 | $138.4M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $138.4M |
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 | 3 | $138.4M |
| 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 vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-121742 |
|---|---|
| SEC ERA File Number | 801-121742 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 315254 |
| Legal Entity Identifier | 21380069RBNG2EUU5J94 |
Principal Office
ONE WORLD TRADE CENTERSUITE 46D
NEW YORK
NY
United States
Monday - Friday, 9AM-5PM
Tel: 347-754-4874, Fax: None
Chief Compliance Officer
LEE SHANNON
44 WHITFIELD STREET
LONDON
United Kingdom
Tel:
+44 7976 773886
L**********@*****************K
(Full email address available in API data)
Industry Affiliates
| EPOCH CAPITAL GP | Sponsor, GP, manager of pooled investment vehicles |
| EPOCH CAPITAL LIMITED | Other investment adviser, including financial planners |
| EPOCH CAPITAL PTY LTD | Other investment adviser, including financial planners |
| EPOCH DERIVATIVES TRADING PTY LTD | Other investment adviser, including financial planners |
| EPOCH ENERGY SOLUTIONS | Other investment adviser, including financial planners |
| EPOCH QUANTITATIVE TRADING | Other investment adviser, including financial planners |
| EPOCH TRADING SERVICES LIMITED | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| EPOCH CAPITAL MASTER FUND SPC - GLOBAL PROPRIETARY MFT MASTER SP | Hedge Fund | $1.1M | $0.1M | 1 |
| EPOCH CAPITAL OFFSHORE FUND SPC - GLOBAL PROPRIETARY MFT SP | Hedge Fund | $1.1M | $0.1M | 1 |
| ST. STEPHEN'S GREEN FUNDS ICAV - EPOCH CAPITAL FUND | Hedge Fund | $123.3M | $0.7M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| THE EPOCH HOLDING GROUP PTY LTD | Foreign Entity | – | OWNER | 05/2021 | > 75% |
| METAFUTURES INVESTMENT TRUST | Foreign Entity | THE EPOCH HOLDING GROUP PTY LTD | OWNER | 05/2021 | 50-75% |
| SADOWSKI, ALEX, JOSEPH | Individual | – | CEO, CLO | 05/2021 | < 5% |
| MAST, DARREN | Individual | – | CFO, COO | 05/2021 | < 5% |
| METAFUTURES PTY LTD | Foreign Entity | METAFUTURES INVESTMENT TRUST | TRUSTEE | 05/2021 | |
| SHANNON, LEE, GERARD | Individual | – | CCO | 05/2021 | < 5% |
| HUMPHREYS, MICHAEL, JOHN | Individual | METAFUTURES INVESTMENT TRUST | APPOINTER | 05/2021 | > 75% |
| HUMPHREYS, MICHAEL, JOHN | Individual | – | PRESIDENT | 05/2021 | < 5% |
| MCLAUGHLIN, GLENN, RICHARD | Individual | – | CIO | 08/2022 | < 5% |
| DUERDEN, ROBIN | Individual | – | CTO | 02/2023 | < 5% |
| MCDONALD, IAN, ALAN | Individual | – | CRO | 05/2023 | < 5% |