FINITE MANAGEMENT, LLC
Adviser information for FINITE MANAGEMENT, LLC last updated from Form ADV on March 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 | 2 |
| Registered Broker-Dealer Representatives | 1 |
| 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 | 1 | $3.0M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $3.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $3.0M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| 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 investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-122559 |
|---|---|
| SEC ERA File Number | 801-122559 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 314875 |
| Legal Entity Identifier | None |
Principal Office
401 WILSHIRE BLVD.#1251
SANTA MONICA
CA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 415-966-2000, Fax: None
Chief Compliance Officer
SOTHARA CHIN
CHIEF COMPLIANCE OFFICER
401 WILSHIRE BLVD
#1251
SANTA MONICA
CA
United States
Tel:
314-800-4017
S********@******O
(Full email address available in API data)
Regulatory Contact
KEVIN CONROY
PRESIDENT
401 WILSHIRE BLVD.
#1251
SANTA MONICA
CA
United States
Tel:
314-800-4017
K****@********O
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FINITE CORPORATION, INC. | Domestic Entity | – | MEMBER | 05/2020 | > 75% |
| CONROY, ANTHONY, KEVIN | Individual | – | PRESIDENT | 05/2021 | < 5% |
| CONROY, ANTHONY, KEVIN | Individual | FINITE CORPORATION, INC. | SHAREHOLDER | 03/2021 | 25-50% |
| DISTRIBUTED RESOURCE VENTURES, INC. | Domestic Entity | FINITE CORPORATION, INC. | SHAREHOLDER | 06/2019 | 25-50% |
| KRETSCHMER, R, DAVID | Individual | – | CHIEF OPERATING OFFICER | 05/2021 | < 5% |
| CHIN, SOTHARA | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2021 | < 5% |