OPUS INVESTMENT MANAGEMENT LLC
Adviser information for OPUS INVESTMENT MANAGEMENT LLC last updated from Form ADV on March 29th, 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 | 8 |
|---|---|
| Investment Advisory/Research | 6 |
| 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 | 18 | $265.9M |
| Non-Discretionary | 0 | $0 |
| Total | 18 | $265.9M |
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 | 4 | $265.9M |
| 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 | 25 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-121988 |
|---|---|
| SEC ERA File Number | 801-121988 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 163262 |
| Legal Entity Identifier | None |
Principal Office
1 STATE STREET32ND FLOOR
NEW YORK
NY
United States
Monday - Friday, 9 AM - 5 PM
Tel: 212-266-8280, Fax: 212-732-1824
Websites
Chief Compliance Officer
NEIL SIMON
1 STATE STREET
32ND FLOOR
NEW YORK
NY
United States
Tel:
212-266-8240
Fax:
212-732-1824
N*****@***********M
(Full email address available in API data)
Regulatory Contact
JAKE ARJANG
CHIEF PORTFOLIO OFFICER
1 STATE STREET
32ND FLOOR
NEW YORK
NY
United States
Tel:
212-266-8262
Fax:
212-732-1824
J******@***********M
(Full email address available in API data)
Industry Affiliates
| FBE HOLDINGS LLC | Sponsor, GP, manager of pooled investment vehicles |
| OPUS CAPITAL MANAGEMENT LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| OPUS FUND INTERNATIONAL LTD. - CLASS B | Hedge Fund | $0.1M | $0.3M | 1 |
| OPUS FUND INTERNATIONAL LTD. - CLASS C | Hedge Fund | $1.7M | $0.3M | 4 |
| OPUS FUND INTERNATIONAL LTD. - CLASS E | Hedge Fund | $5.9M | $0.3M | 9 |
| OPUS FUND INTERNATIONAL LTD. - CLASS H | Hedge Fund | $0.0M | $0.3M | 3 |
| OPUS FUND INTERNATIONAL LTD. - CLASS K | Hedge Fund | $38.5M | $0.3M | 30 |
| OPUS FUND INTERNATIONAL LTD. - CLASS M | Hedge Fund | $9.0M | $0.3M | 6 |
| OPUS FUND INTERNATIONAL LTD. - CLASS PS | Hedge Fund | $9.5M | $0.3M | 22 |
| OPUS FUND INTERNATIONAL LTD. - CLASS T | Hedge Fund | $3.1M | $0.3M | 5 |
| OPUS FUND INTERNATIONAL LTD. - CLASS TP | Hedge Fund | $0.1M | $0.3M | 4 |
| OPUS FUND INTERNATIONAL LTD. - DIVERSIFIED CLASS | Hedge Fund | $16.3M | $0.3M | 27 |
| OPUS FUND LLC - CONCENTRATED CLASS | Hedge Fund | $38.5M | $0.3M | 42 |
| OPUS FUND LLC - DIVERSIFIED CLASS | Hedge Fund | $16.7M | $0.3M | 27 |
| OPUS PREFERRED FUND LLC - BALANCED EQUITY CLASS | Hedge Fund | $8.3M | $0.3M | 15 |
| OPUS PREFERRED FUND LLC - CONCENTRATED CLASS | Hedge Fund | $42.3M | $0.3M | 48 |
| OPUS PREFERRED FUND LLC - DIVERSIFIED CLASS | Hedge Fund | $24.0M | $0.3M | 44 |
| OPUS PREFERRED FUND LLC - FOCUSED CLASS | Hedge Fund | $28.2M | $0.3M | 2 |
| OPUS PREFERRED FUND LLC - OPUS CREDIT OPPORTUNITIES CLASS | Hedge Fund | $8.6M | $0.3M | 12 |
| OPUS PRIVATE EQUITY OPPORTUNITY FUND LLC - VINTAGE I CLASS | Private Equity Fund | $15.1M | $1.0M | 26 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FRUCHTHANDLER, ISAAC, PHILIP | Individual | – | CHIEF OPERATING OFFICER OF FUND-OF-FUNDS DIVISION | 03/2003 | < 5% |
| FRUCHTHANDLER DESCENDANTS PARTNERSHIP | Domestic Entity | FBE LIMITED LLC | MEMBER | 12/1999 | 50-75% |
| FBE LIMITED LLC | Domestic Entity | – | MEMBER | 01/2018 | > 75% |
| FBE MGR LLC | Domestic Entity | FBE LIMITED LLC | MANAGER | 01/2014 | |
| FRUCHTHANDLER, ABRAHAM, HERBERT | Individual | FBE MGR LLC | OWNER | 12/2007 | > 75% |
| FRUCHTHANDLER, ABRAHAM, HERBERT | Individual | – | CHAIRMAN OF MANAGEMENT COMMITTEE | 06/2021 | < 5% |
| FRUCHTHANDLER, YEHOSHUA, LEIB | Individual | – | MEMBER OF MANAGEMENT COMMITTEE | 06/2021 | < 5% |
| SCHECHTER, ALAN, HOWARD | Individual | – | MEMBER OF MANAGEMENT COMMITTEE, CHIEF FINANCIAL OFFICER AND CHIEF EXECUTIVE OFFICER OF PRIVATE EQUITY DIVISION | 06/2021 | < 5% |
| SIMON, NEIL, AVERY | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2021 | < 5% |
| SPIERER, JOSHUA, RAPHAEL | Individual | – | CHIEF ACCOUNTING AND REPORTING OFFICER | 06/2021 | < 5% |