POSEIDON INVESTMENT MANAGEMENT LLC
Adviser information for POSEIDON INVESTMENT MANAGEMENT LLC last updated from Form ADV on September 22nd, 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 | 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 | 9 | $117.5M |
| Non-Discretionary | 1 | $19.1M |
| Total | 10 | $136.5M |
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 | 10 | $136.5M |
| 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 | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-122377 |
|---|---|
| SEC ERA File Number | 801-122377 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 311864 |
| Legal Entity Identifier | None |
Principal Office
330 FELL STREETSUITE 200
SAN FRANCISCO
CA
United States
Monday - Friday, 9-5
Tel: 716-984-2105, Fax: None
Chief Compliance Officer
JOHN CANNING
330 FELL STREET
SUITE 200
SAN FRANCISCO
CA
United States
Tel:
610-513-2185
J*******@****************S
(Full email address available in API data)
Regulatory Contact
MORGAN PAXHIA
MANAGER AND MEMBER
330 FELL STREET
SUITE 200
SAN FRANCISCO
CA
United States
Tel:
7169842105
M******@****************S
(Full email address available in API data)
Industry Affiliates
| POSEIDON ASSET MANAGEMENT | Sponsor, GP, manager of pooled investment vehicles |
| POSEIDON CAPITAL VENTURES, LLC | Sponsor, GP, manager of pooled investment vehicles |
| POSEIDON GARDEN VENTURES, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| DEMETER CAPITAL GROUP II LP | Venture Capital Fund | $44.9M | $0.5M | 81 |
| DEMETER CAPITAL GROUP LP | Hedge Fund | $59.9M | $0.1M | 98 |
| POSEIDON CAPITAL SYNDICATE 1, LLC | Venture Capital Fund | $2.1M | $0.1M | 14 |
| POSEIDON CAPITAL SYNDICATE 2, LLC | Venture Capital Fund | $0.1M | $0.1M | 16 |
| POSEIDON CAPITAL SYNDICATE 3, LLC | Venture Capital Fund | $4.0M | $0.1M | 41 |
| POSEIDON CAPITAL SYNDICATE 4, LLC | Venture Capital Fund | $0.8M | $0.1M | 14 |
| POSEIDON CAPITAL SYNDICATE 5, LLC | Venture Capital Fund | $2.2M | $0.1M | 11 |
| POSEIDON CAPITAL SYNDICATE 6, LLC | Venture Capital Fund | $2.7M | $0.1M | 8 |
| POSEIDON CAPITAL SYNDICATE 7, LLC | Venture Capital Fund | $0.9M | $0.1M | 23 |
| POSEIDON GARDEN FUND I, LP | Venture Capital Fund | $19.1M | $0.1M | 53 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PAXHIA, MORGAN, CASE | Individual | – | MANAGER AND MEMBER | 11/2018 | 50-75% |
| PAXHIA, EMILY, LOUISE | Individual | – | MANAGER AND MEMBER | 11/2018 | 50-75% |
| CANNING, JOHN, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2021 | < 5% |