LUPA RIA INVESTMENT MANAGEMENT LLC
Adviser information for LUPA RIA INVESTMENT MANAGEMENT LLC last updated from Form ADV on March 28th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 9 |
| 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 | 6 | $666.4M |
| Non-Discretionary | 2 | $1.0B |
| Total | 8 | $1.7B |
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 | 8 | $1.7B |
| 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 | 25 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-122892 |
|---|---|
| SEC ERA File Number | 801-122892 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 314819 |
| Legal Entity Identifier | None |
Principal Office
363 LAFAYETTE STREET6TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9AM - 5PM
Tel: 212-433-4751, Fax: None
Websites
Chief Compliance Officer
GAYATHRI GUNASEKARAN
DEPUTY GENERAL COUNSEL
363 LAFAYETTE STREET
6TH FLOOR
NEW YORK
NY
United States
Tel:
212-433-4797
G***********@**************M
(Full email address available in API data)
Regulatory Contact
JEFFREY PALKER
MANAGING PARTNER AND GENERAL COUNSEL
363 LAFAYETTE STREET
8TH FLOOR
NEW YORK
NY
United States
Tel:
212-433-4788
J******@**************M
(Full email address available in API data)
Industry Affiliates
| ASIA INITIATIVES PTE. LTD. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| LUPA INVESTMENT MANAGEMENT LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| LUPA SYSTEMS LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| LUPA CO-INVESTMENT PARTNERS, LP | Private Equity Fund | $4.6M | $0.0M | 12 |
| LUPA EQ HOLDINGS LLC | Hedge Fund | $17.0M | $0.0M | 1 |
| LUPA INVESTMENT HOLDINGS, LP | Private Equity Fund | $640.2M | $0.0M | 2 |
| LUPA J HOLDINGS LLC | Private Equity Fund | $0.8M | $0.0M | 2 |
| LUPA M HOLDINGS, LLC | Private Equity Fund | $2.5M | $0.0M | 2 |
| LUPA T HOLDINGS SPV, LLC | Private Equity Fund | $26.6M | $0.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LUPA INVESTMENT MANAGEMENT LLC | Domestic Entity | – | SOLE MEMBER | 04/2021 | > 75% |
| Murdoch, James, Rupert | Individual | – | CHIEF EXECUTIVE OFFICER | 04/2021 | < 5% |
| Palker, Jeffrey, Edward | Individual | – | MANGING PARTNER AND GENERAL COUNSEL | 04/2021 | < 5% |
| LUPA INVESTMENT TRUST | Domestic Entity | LUPA INVESTMENT MANAGEMENT LLC | SOLE MEMBER | 01/2022 | > 75% |
| JP MORGAN CHASE, N.A. | Domestic Entity | LUPA INVESTMENT TRUST | TRUSTEE | 12/2019 | |
| Angelo, Jesse, Michael | Individual | LUPA INVESTMENT TRUST | TRUSTEE | 12/2019 | |
| Palker, Jeffrey, Edward | Individual | LUPA INVESTMENT TRUST | TRUSTEE | 12/2019 | |
| Gunasekaran, Gayathri | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2023 | < 5% |