CAPITAL FOUR US INC.
Adviser information for CAPITAL FOUR US INC. last updated from Form ADV on March 30th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 8 |
| 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 | 8 | $2.0B |
| Non-Discretionary | 0 | $0 |
| Total | 8 | $2.0B |
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 | 8 | $2.0B |
| 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 |
Identifiers
| SEC RIA File Number | 801-122112 |
|---|---|
| SEC ERA File Number | 801-122112 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 315650 |
| Legal Entity Identifier | 549300VYNCNI1SF2V052 |
Principal Office
280 PARK AVENUE43RD FLOOR
NEW YORK
NY
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 212-461-3730, Fax: None
Chief Compliance Officer
ROBERT LASNER
CHIEF OPERATING OFFICER
280 PARK AVENUE
43RD FLOOR
NEW YORK
NY
United States
Tel:
212-461-3736
R*********@***************M
(Full email address available in API data)
Industry Affiliates
| B-FLEXION INVESTMENTS (US) INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CAPITAL FOUR AIFM A/S | Other investment adviser, including financial planners |
| CAPITAL FOUR CLO MANAGEMENT GP APS | Sponsor, GP, manager of pooled investment vehicles |
| CAPITAL FOUR CLO MANAGEMENT GP II APS | Sponsor, GP, manager of pooled investment vehicles |
| CAPITAL FOUR MANAGEMENT FONDSMAEGLERSELSKAB A/S | Other investment adviser, including financial planners |
| CAPITAL FOUR STRATEGIC LENDING FUND GP APS | Sponsor, GP, manager of pooled investment vehicles |
| CAPITAL FOUR US CLO MANAGEMENT LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CAPITAL FOUR US CLO I LTD. | Securitized Asset Fund | $411.2M | $0.0M | 0 |
| CAPITAL FOUR US CLO II LTD. | Securitized Asset Fund | $394.9M | $0.0M | 0 |
| CAPITAL FOUR US CLO III LTD. | Securitized Asset Fund | $418.4M | $0.0M | 0 |
| CAPITAL FOUR US CLO IV LTD. | Securitized Asset Fund | $37.7M | $0.0M | 0 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CAPITAL FOUR HOLDING A/S | Foreign Entity | – | SOLE SHAREHOLDER | 07/2021 | > 75% |
| WIANT, JAMES, MICHAEL | Individual | – | CEO | 03/2021 | < 5% |
| NORTHILL MARVEL LUXEMBOURG HOLDINGS SARL | Foreign Entity | CAPITAL FOUR HOLDING A/S | OWNER | 03/2016 | 50-75% |
| NORTHILL JERSEY HOLDINGS LP | Foreign Entity | NORTHILL MARVEL LUXEMBOURG HOLDINGS SARL | OWNER | 03/2016 | > 75% |
| B-FLEXION AM HOLDINGS LIMITED | Foreign Entity | NORTHILL JERSEY HOLDINGS LP | GENERAL PARTNER | 06/2012 | |
| NORTHILL CAPITAL (JERSEY) LP | Foreign Entity | NORTHILL JERSEY HOLDINGS LP | LIMITED PARTNER | 01/2011 | > 75% |
| B-FLEXION GP LTD | Foreign Entity | NORTHILL INVEST LP | GENERAL PARTNER | 11/2015 | |
| B-FLEXION AM HOLDINGS LIMITED | Foreign Entity | NORTHILL CAPITAL (JERSEY) LP | GENERAL PARTNER | 06/2012 | |
| NORTHILL INVEST LP | Foreign Entity | NORTHILL CAPITAL (JERSEY) LP | LIMITED PARTNER | 11/2015 | > 75% |
| B-FLEXION HOLDINGS (SWITZERLAND) SA | Foreign Entity | B-FLEXION AM HOLDINGS LIMITED | OWNER | 06/2020 | > 75% |
| B-FLEXION HOLDINGS (SWITZERLAND) SA | Foreign Entity | B-FLEXION GP LTD | OWNER | 06/2020 | > 75% |
| B-FLEXION GROUP HOLDINGS SA | Foreign Entity | B-FLEXION HOLDINGS (SWITZERLAND) SA | OWNER | 06/2020 | > 75% |
| LANDMARK LP | Foreign Entity | NORTHILL INVEST LP | LIMITED PARTNER | 11/2015 | > 75% |
| LM (GP) LTD | Foreign Entity | LANDMARK LP | GENERAL PARTNER | 11/2008 | |
| BERTARELLI PARTNERS LTD | Foreign Entity | LM (GP) LTD | OWNER | 01/2011 | > 75% |
| GUICHARD-BERTARELLI, DONATA | Individual | LANDMARK LP | LIMITED PARTNER | 01/2011 | 25-50% |
| BERTARELLI, ERNESTO, SILVIO MAURIZIO | Individual | LANDMARK LP | LIMITED PARTNER | 01/2011 | 50-75% |
| LASNER, ROBERT, MAX | Individual | – | CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER | 09/2023 | < 5% |
| BERTARELLI, ERNESTO, SILVIO MAURIZIO | Individual | BERTARELLI PARTNERS LTD | OWNER | 08/2023 | > 75% |
| BERTARELLI, ERNESTO, SILVIO MAURIZIO | Individual | B-FLEXION GROUP HOLDINGS SA | OWNER | 08/2023 | > 75% |
| NORTHILL UK MANAGEMENT HOLDINGS LIMITED II | Foreign Entity | NORTHILL MARVEL LUXEMBOURG HOLDINGS SARL | OWNER | 02/2024 | > 75% |