ASTEROZOA MANAGEMENT
ASTEROZOA MANAGEMENT LLC Legal Name
Adviser information for ASTEROZOA MANAGEMENT last updated from Form ADV on March 25th, 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 | Nevada, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 4 | $106.0M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $106.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $76.1M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $29.9M |
| 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 | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
3429 N 34TH PLACEPHOENIX
AZ
United States
Monday - Friday, 9AM - 5PM
Tel: 858-692-8461, Fax: None
Chief Compliance Officer
KEVIN YIN
VICE PRESIDENT
101 RIVER PARK DR.
APT 515
SAN DIEGO
CA
United States
Tel:
858-877-0248
K****@*******************M
(Full email address available in API data)
Regulatory Contact
JOE HEGENER
CHIEF INVESTMENT OFFICER
3429 N 34TH PLACE
PHOENIX
AZ
United States
Tel:
858-692-8461
J**@*******************M
(Full email address available in API data)
Industry Affiliates
| VERAISON ASSET MANAGEMENT, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ASTEROZOA SPECIAL FUND I | Hedge Fund | $7.3M | $0.1M | 46 |
| ASTEROZOA VENTURES, LP | Hedge Fund | $20.1M | $0.1M | 100 |
| AV INSTITUTIONAL FUND LP | Hedge Fund | $2.6M | $0.3M | 15 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Hegener, Joseph, Louis | Individual | – | MANAGING MEMBER, CHIEF INVESTMENT OFFICER | 09/2021 | 25-50% |
| YIN, KEVIN, Guochen | Individual | – | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 10/2023 | 10-25% |
| HEGENER, PAUL, JOSEPH | Individual | – | CHIEF RISK OFFICER | 09/2023 | < 5% |
| Altuzarra, Julia | Individual | – | VICE PRESIDENT, INVESTOR RELATIONS & ACCOUNT MANAGEMENT | 09/2021 | 10-25% |
| Kaites, John | Individual | – | MEMBER | 05/2023 | 5-10% |
| DANA POINT VENTURES, LLC | Domestic Entity | – | MEMBER | 05/2023 | 10-25% |
| THE R&W SMITH REVOCABLE TRUST DATED APRIL 30, 2020 | Domestic Entity | – | MEMBER | 05/2023 | 5-10% |
| Smith, Robert, Edgar | Individual | THE R&W SMITH REVOCABLE TRUST DATED APRIL 30, 2020 | TRUSTEE | 04/2020 | |
| Smith, Wendy, Kaye | Individual | THE R&W SMITH REVOCABLE TRUST DATED APRIL 30, 2020 | TRUSTEE | 04/2020 | |
| HEGENER FAMILY TRUST | Domestic Entity | DANA POINT VENTURES, LLC | SOLE MEMBER | 09/2004 | > 75% |
| HEGENER, PAUL, JOSEPH | Individual | HEGENER FAMILY TRUST | TRUSTEE | 09/2004 | |
| Hegener, Juliana | Individual | HEGENER FAMILY TRUST | TRUSTEE | 09/2004 |