SG3 MANAGEMENT, LLC
Adviser information for SG3 MANAGEMENT, LLC last updated from Form ADV on March 20th, 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 | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | $18.6M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $18.6M |
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 | 1 | $18.6M |
| 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 pooled investment vehicles |
|---|---|
| Compensation | Performance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
323 DORADO BEACH EASTDORADO
PR
United States
Monday - Friday, 8AM-5PM
Tel: 939-545-0554, Fax: None
Websites
Chief Compliance Officer
YAROT LAFONTAINE
GENERAL COUNSEL
323 DORADO BEACH EAST
DORADO
PR
United States
Tel:
939-545-0554
Y****@*************M
(Full email address available in API data)
Regulatory Contact
SAAGAR GUPTA
MANAGER
323 DORADO BEACH EAST
DORADO
PR
United States
Tel:
939-545-0554
S*****@*************M
(Full email address available in API data)
Industry Affiliates
| NOT APPLICABLE - RELATED PERSON IS AN INDIVIDUAL | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| SG3 CAPITAL, LLC | Hedge Fund | $18.6M | $0.5M | 24 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GUPTA, SAAGAR, KAMAL | Individual | – | MANAGER | 01/2015 | > 75% |
| LAFONTAINE TORRES, YAROT, TOMAS | Individual | – | GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 04/2020 | < 5% |
| GRAY, THOMAS, LOYD | Individual | – | CHIEF FINANCIAL OFFICER | 05/2020 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed November 15th, 2023 for period ending September 30th, 2023
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| NONE | NONE | 0 | 0 | – |