RPO LLC
Adviser information for RPO 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 | 9 |
|---|---|
| Investment Advisory/Research | 5 |
| 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 | 7 | $270.8M |
| Non-Discretionary | 0 | $0 |
| Total | 7 | $270.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 5 | $120.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $149.9M |
| 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 |
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 |
Principal Office
6 LANDMARK SQUARESUITE 400
STAMFORD
CT
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 203-485-8800, Fax: None
Chief Compliance Officer
STEPHEN E. ROGERS
CHIEF OPERATING OFFICER
6 LANDMARK SQUARE
SUITE 400
STAMFORD
CT
United States
Tel:
203-485-8821
S******@*****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| TEMPO OPPORTUNITIES FUND LLC | Hedge Fund | $117.8M | $0.0M | 7 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ROGERS, JOHN, DAVID | Individual | – | MANAGING MEMBER | 03/2021 | > 75% |
| ROGERS, STEPHEN, EDWARD | Individual | – | CHIEF COMPLIANCE OFFICER / CHIEF OPERATING OFFICER | 03/2021 | < 5% |
| GUGGENHEIMER, ZUZANA, (NMN) | Individual | – | CHIEF FINANCIAL OFFICER | 03/2021 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 9th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABRDN HEALTHCARE INVESTORS | SH BEN INT | 4M | 247K | – |
| ABRDN LIFE SCIENCES INVESTOR | SH BEN INT | 4M | 259K | – |
| ALPHA STAR ACQUISITION CORP | *W EXP 12/13/202 | 479 | 41K | – |
| APPLE INC | COM | 1M | 5K | – |
| APPLE INC | COM | 421K | 2K | – |
| APPLE INC | COM | 18M | 88K | – |
| ARK 21SHARES BITCOIN ETF | SHS BEN INT | 568K | 9K | – |
| BITWISE BITCOIN ETF TR | SHS BEN INT | 10M | 295K | – |
| BLACKROCK ENHANCED GLOBAL DI | COM | 1M | 97K | – |
| BLUE WORLD ACQUISITION CORP | *W EXP 01/10/202 | 2K | 21K | – |
| BURTECH ACQUISITION CORP | *W EXP 12/18/202 | 11K | 46K | – |
| CALAMOS GBL DYN INCOME FUND | COM | 3M | 388K | – |
| CANNA GLOBAL ACQUISITION COR | *W EXP 99/99/999 | 0 | 123K | – |
| CHIPOTLE MEXICAN GRILL INC | COM | 2M | 28K | – |
| CHIPOTLE MEXICAN GRILL INC | COM | 6M | 100K | – |
| CLOUGH GLOBAL DIVID & INCOME | COM | 555K | 97K | – |
| CLOUGH GLOBAL EQUITY FD | COM | 644K | 92K | – |
| CLOUGH GLOBAL OPPORTUNITIES | SH BEN INT | 1M | 199K | – |
| CONOCOPHILLIPS | COM | 8M | 71K | – |
| CONOCOPHILLIPS | COM | 3M | 26K | – |
| CONOCOPHILLIPS | COM | 13M | 116K | – |
| DIH HLDG US INC | *W EXP 04/20/202 | 21K | 514K | – |
| ELLSWORTH GROWTH & INCOME FD | COM | 294K | 36K | – |
| EVE HLDG INC | *W EXP 05/09/202 | 27K | 76K | – |
| FIDELITY WISE ORIGIN BITCOIN | SHS | 12M | 238K | – |
| FLAHERTY & CRUMRINE DYNAMIC | SHS | 3M | 166K | – |
| FLAHERTY & CRUMRINE PFD INCO | COM | 104K | 12K | – |
| FLAHERTY & CRUMRINE PFD SECS | COM | 165K | 11K | – |
| FRANKLIN TEMPLETON DIGITAL H | BITCOIN ETF SHS | 623K | 18K | – |
| GABELLI DIVID & INCOME TR | COM | 4M | 173K | – |
| ISHARES BITCOIN TR | SHS | 567K | 17K | – |
| JAPAN SMALLER CAPITALIZATION | COM | 117K | 15K | – |
| KAIROUS ACQUISITION CORP LTD | *W EXP 09/15/202 | 100 | 11K | – |
| LIVEWIRE GROUP INC | *W EXP 09/26/202 | 88K | 463K | – |
| MICROSTRATEGY INC | NOTE 2/1 | 2M | – | – |
| MORGAN STANLEY | COM NEW | 2M | 20K | – |
| MORGAN STANLEY | COM NEW | 10M | 100K | – |
| NORTHVIEW ACQUISITION CORP | *W EXP 08/02/202 | 1K | 23K | – |
| NUCOR CORP | COM | 3M | 16K | – |
| NUCOR CORP | COM | 790K | 5K | – |
| NUCOR CORP | COM | 5M | 35K | – |
| NWTN INC | *W EXP 12/31/202 | 7K | 96K | – |
| PONO CAP TWO INC | *W EXP 99/99/999 | 7K | 100K | – |
| SELINA HOSPITALITY PLC | *W EXP 10/27/202 | 298 | 20K | – |
| SRH TOTAL RETURN FUND INC | COM | 2M | 130K | – |
| SWIFTMERGE ACQUISITION CORP | *W EXP 12/13/202 | 977 | 14K | – |
| VANECK BITCOIN TR | SH BEN INT | 569K | 8K | – |
| WESTERN AST INFL LKD OPP & I | COM | 86K | 10K | – |