AMBERWAVE PARTNERS
AMBERWAVE PARTNERS RESEARCH AND MANAGEMENT, LLC Legal Name
Adviser information for AMBERWAVE PARTNERS last updated from Form ADV on February 7th, 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 | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| 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 | 3 | $4.2M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $4.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $3.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $1.0M |
| 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 | 1 |
| No. of Non-U.S. Clients | 33 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-122616 |
|---|---|
| SEC ERA File Number | 801-122616 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 317103 |
| Legal Entity Identifier | 5493006BQHUDQZGKQ910 |
Principal Office
750 LEXINGTON AVENUESUITE 7-129
NEW YORK
NY
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 888-926-1931, Fax: None
Chief Compliance Officer
ERIC KLEINSCHMIDT
3 CANAL PLAZA
SUITE 100
PORTLAND
ME
United States
Tel:
484-588-5509
E****************@************M
(Full email address available in API data)
Regulatory Contact
DANIEL KATZ
CO-FOUNDER
750 LEXINGTON AVENUE
SUITE 7-129
NEW YORK
NY
United States
Tel:
646-643-1424
K***@********************M
(Full email address available in API data)
Industry Affiliates
| AWP FUND MANAGEMENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| AMBERWAVE THEMATIC OPPORTUNITIES FUND I | Hedge Fund | $1.0M | $0.5M | 3 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KATZ, DANIEL, SCOTT | Individual | – | CO-FOUNDER | 08/2021 | < 5% |
| DANS, THOMAS, EMANUEL | Individual | – | CO-FOUNDER | 08/2021 | < 5% |
| MIRAN, STEPHEN, IRA | Individual | – | CO-FOUNDER | 08/2021 | < 5% |
| AMBERWAVE PARTNERS, LLC | Domestic Entity | – | OWNER | 08/2021 | > 75% |
| KATZ, DANIEL, SCOTT | Individual | AMBERWAVE PARTNERS, LLC | SHAREHOLDER | 07/2021 | 25-50% |
| MIRAN, STEPHEN, IRA | Individual | AMBERWAVE PARTNERS, LLC | SHAREHOLDER | 07/2021 | 25-50% |
| KLEINSCHMIDT, ERIC, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2022 | < 5% |