HAVELI INVESTMENT MANAGEMENT LLC
Adviser information for HAVELI 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 | 45 |
|---|---|
| Investment Advisory/Research | 34 |
| Registered Broker-Dealer Representatives | 2 |
| 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 | 5 | $2.7B |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $2.7B |
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 | 5 | $2.7B |
| 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 | 40 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMCARRIED INTEREST |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-123111 |
|---|---|
| SEC ERA File Number | 801-123111 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 316470 |
| Legal Entity Identifier | None |
Principal Office
405 COLORADO STREETSUITE 1600
AUSTIN
TX
United States
Monday - Friday, 9-5
Tel: 512-987-7314, Fax: None
Chief Compliance Officer
DELLA P. RICHARDSON
DEPUTY GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER
405 COLORADO STREET
SUITE 1600
AUSTIN
TX
United States
Tel:
512-987-7314
C*********@**********M
(Full email address available in API data)
Industry Affiliates
| HAVELI INVESTMENTS SOFTWARE FUND I GP, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| HAVELI VC GAMING FUND I GP, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| HAVELI INVESTMENTS SOFTWARE FRIENDS AND FAMILY FUND I, L.P. | Private Equity Fund | $83.0M | $0.3M | 57 |
| HAVELI INVESTMENTS SOFTWARE FUND CAYMAN I, L.P. | Private Equity Fund | $274.0M | $5.0M | 11 |
| HAVELI INVESTMENTS SOFTWARE FUND I, L.P. | Private Equity Fund | $1,581.2M | $5.0M | 35 |
| HAVELI VC GAMING FRIENDS AND FAMILY FUND I, L.P. | Private Equity Fund | $65.4M | $0.5M | 79 |
| HAVELI VC GAMING FUND I, L.P. | Private Equity Fund | $686.9M | $5.0M | 57 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HAVELI INVESTMENTS LP | Domestic Entity | – | SOLE MEMBER | 08/2021 | > 75% |
| SANGREAL TRUST DATED 12/1/2009 | Domestic Entity | KAZOKU HOLDINGS LLC | SOLE MEMBER | 12/2022 | > 75% |
| SHETH, BRIAN, N | Individual | SANGREAL TRUST DATED 12/1/2009 | TRUSTEE | 12/2009 | > 75% |
| RICHARDSON, DELLA, PATRICE | Individual | – | CHIEF COMPLIANCE OFFICER AND DEPUTY GENERAL COUNSEL | 12/2021 | < 5% |
| SHETH, BRIAN, N | Individual | – | CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER | 12/2021 | < 5% |
| MATHEWS, JASON, LAMONT | Individual | – | CHIEF OPERATING OFFICER | 12/2021 | < 5% |
| KAZOKU HOLDINGS LLC | Domestic Entity | HAVELI INVESTMENTS LP | OWNER | 02/2024 | > 75% |
| CAPPELLINI, NORA | Individual | – | SVP OF FINANCE & CONTROLLER | 01/2022 | < 5% |