IMPERIAL FUND CAPITAL PARTNERS, LLC

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Delaware, United States

Employees

Total Number of Employees	8
Investment Advisory/Research	3
Registered Broker-Dealer Representatives	1
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	11	$5.3B
Non-Discretionary	0	$0
Total	11	$5.3B

Clients

Type	Number	RAUM
Individuals	0	$0
HNW Individuals	6	$1.7M
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	2	$3.5B
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	<5	$1.8B
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	45
No. of Financial Planning Clients	0

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehicles
Compensation	% of AUMHourly chargesPerformance-based fees

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	0
Both for Same	2.8M

Portfolio Manager to Program	Sponsor
IMPERIAL FUND CAPITAL PARTNERS WRAP FEE PROGRAM	IMPERIAL FUND CAPITAL PARTNERS, LLC

Identifiers

SEC RIA File Number	801-123060
SEC ERA File Number	801-123060
SEC CIK Numbers	None
SEC CRD Numbers	317525
Legal Entity Identifier	9845000DFD8D01038770

Principal Office

1720 HARRISON STREET
7TH FLOOR
HOLLYWOOD
FL
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic