FAIRLEAD STRATEGIES
FAIRLEAD STRATEGIES, LLC Legal Name
Adviser information for FAIRLEAD STRATEGIES last updated from Form ADV on March 13th, 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 | Connecticut, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| 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 | $209.0M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $209.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $209.0M |
| 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 | 605 |
| No. of Non-U.S. Clients | 8 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPublication of periodicals or newslettersMarket timing servicesEducational seminars/workshops |
|---|---|
| Compensation | Subscription feesFixed feesPERCENTAGE OF MANAGEMENT FEE |
Identifiers
| SEC RIA File Number | 801-122857 |
|---|---|
| SEC ERA File Number | 801-122857 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 297384 |
| Legal Entity Identifier | None |
Principal Office
19 EAST ELM STREET2ND FLOOR
GREENWICH
CT
United States
Monday - Friday, 7:30AM-5:00PM
Tel: 203-872-6500, Fax: None
Chief Compliance Officer
TRACY TOWNSHED
COO, PARTNER
19 EAST ELM STREET
2ND FLOOR
GREENWICH
CT
United States
Tel:
203-872-6502
T*********@*********************M
(Full email address available in API data)
Regulatory Contact
KATIE STOCKTON
FOUNDER AND MANAGING PARTNER
19 EAST ELM STREET
SECOND FLOOR
GREENWICH
CT
United States
Tel:
203-872-6502
K********@*********************M
(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 |
|---|---|---|---|---|---|
| STOCKTON, KATHERINE, TOWNSHEND | Individual | – | FOUNDER/ MANAGING PARTNER | 02/2018 | > 75% |
| Townshend, Tracy, Anne | Individual | – | COO, CCO AND PARTNER | 02/2024 | < 5% |