Hedge Fund Database

PLURIBUS LABS

PLURIBUS LABS, LLC Legal Name

Adviser information for PLURIBUS LABS last updated from Form ADV on March 20th, 2023. 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 NOVEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 15
Investment Advisory/Research 15
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 0
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 2 $101.4M
Non-Discretionary 0 $0
Total 2 $101.4M

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 1 $45.6M
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 1 $55.7M
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 100

Services

Advisory Services Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients
Compensation % of AUM
Other Business Activities Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number 801-123459
SEC ERA File Number 801-123459
SEC CIK Numbers 1637714
SEC CRD Numbers 300972
Legal Entity Identifier 549300MIQ5VVPWR50S94

Principal Office

357 EAST STRAWBERRY DRIVE
MILL VALLEY
CA
United States
Monday - Friday, 8AM-5PM
Tel: 212-498-8942, Fax: None

Websites

www.pluribuslabs.com www.linkedin.com/company/pluribus-labs/

Chief Compliance Officer

JILL OSTERGAARD
1370 BROADWAY
SUITE 1450
NEW YORK
NY
United States
Tel: 212-498-8942
(Full email address available in API data)

Regulatory Contact

NEIL RADEY
1370 BROADWAY
SUITE 1450
NEW YORK
NY
United States
(Full email address available in API data)

Industry Affiliates

EXOS ASSET MANAGEMENT LLC Other investment adviser, including financial planners
EXOS COLLATERALIZED SPAC HOLDINGS FUND GP LLC Sponsor, GP, manager of pooled investment vehicles
EXOS CRE OPPORTUNITY FUND II GP LLC Sponsor, GP, manager of pooled investment vehicles
EXOS SECURITIES LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
EXOS SPAC WARRANT OPPORTUNITIES GP LLC Sponsor, GP, manager of pooled investment vehicles
PLURIBUS LABS GLOBAL CORE EQUITY GP, LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
PLURIBUS LABS GLOBAL CORE EQUITY MASTER FUND LP PUBLIC EQUITIES $45.6M $5.0M 7

Control Persons

Name Type Entity Title Since Ownership
COHEN, JONATHAN, ELLIOT Individual – PRESIDENT, CHIEF OPERATING OFFICER, AND MEMBER 08/2020 < 5%
DOUGAN, BRADY, WILLIAM Individual – CHIEF EXECUTIVE OFFICER 06/2022 < 5%
EXOS TFP HOLDINGS LLC Domestic Entity – OWNER 06/2022 > 75%
AYABUDGE LLC Domestic Entity EXOS TFP HOLDINGS LLC SHAREHOLDER 06/2022 50-75%
DOUGAN, BRADY, WILLIAM Individual AYABUDGE LLC SHAREHOLDER 06/2022 50-75%
OSTERGAARD, JILL, WENZLAFF Individual – CHIEF COMPLIANCE OFFICER 06/2022 < 5%
RADEY, DONALD, NEIL Individual – CHIEF LEGAL OFFICER 06/2022 < 5%
EARLY, PETER, LYONS Individual – PARTNER, HEAD OF BUSINESS STRATEGY 06/2022 < 5%
HATSTADT, PHILIPPE, ANDRE Individual – CHIEF RISK OFFICER 06/2022 < 5%
NEISCH, JACQUELINE, ANN Individual – CONTROLLER 06/2022 < 5%

No. Employees, Historic

3015020222023202421 on 2/14/202221 on 2/24/202221 on 7/1/202215 on 2/28/202315 on 3/20/2023

RAUM, Historic

200M100M0202220232024105821497 on 2/14/2022105821497 on 2/24/2022105821497 on 7/1/2022101368138 on 2/28/2023101368138 on 3/20/2023

No. Clients, Historic

10502022202320246 on 2/14/20226 on 2/24/20226 on 7/1/20222 on 2/28/20232 on 3/20/2023

Holdings

From latest 13F, filed August 12th, 2022 for period ending June 30th, 2022
Name Class Value $USD # Shares Private Fund
3M CO COM 562 4K _
ABBVIE INC COM 269 2K _
AES CORP COM 283 13K _
AIR PRODS & CHEMS INC COM 461 2K _
AKAMAI TECHNOLOGIES INC COM 281 3K _
ALPHABET INC CAP STK CL A 4K 2K _
AMAZON COM INC COM 3K 24K _
AMEREN CORP COM 338 4K _
AMERISOURCEBERGEN CORP COM 326 2K _
AMETEK INC COM 321 3K _
ANALOG DEVICES INC COM 624 4K _
ANSYS INC COM 318 1K _
APPLE INC COM 5K 39K _
ARCHER DANIELS MIDLAND CO COM 287 4K _
AT&T INC COM 948 45K _
BERKSHIRE HATHAWAY INC DEL CL B NEW 2K 7K _
BEST BUY INC COM 246 4K _
BK OF AMERICA CORP COM 681 22K _
BLACKROCK INC COM 705 1K _
BOOZ ALLEN HAMILTON HLDG COR CL A 285 3K _
BRISTOL-MYERS SQUIBB CO COM 480 6K _
BUNGE LIMITED COM 256 3K _
C H ROBINSON WORLDWIDE INC COM NEW 229 2K _
CARLYLE GROUP INC COM 219 7K _
CHEVRON CORP NEW COM 241 2K _
CHUBB LIMITED COM 675 3K _
CISCO SYS INC COM 709 17K _
CME GROUP INC COM 244 1K _
COCA COLA CO COM 222 4K _
COMCAST CORP NEW CL A 537 14K _
COSTCO WHSL CORP NEW COM 1K 2K _
CUMMINS INC COM 318 2K _
CVS HEALTH CORP COM 231 2K _
DEERE & CO COM 328 1K _
DEXCOM INC COM 373 5K _
DOLLAR GEN CORP NEW COM 341 1K _
DOLLAR TREE INC COM 274 2K _
ECOLAB INC COM 347 2K _
ELECTRONIC ARTS INC COM 324 3K _
EXPEDITORS INTL WASH INC COM 287 3K _
EXXON MOBIL CORP COM 272 3K _
GENERAL DYNAMICS CORP COM 269 1K _
GLOBE LIFE INC COM 209 2K _
HCA HEALTHCARE INC COM 414 2K _
HOME DEPOT INC COM 1K 4K _
HONEYWELL INTL INC COM 867 5K _
INTEL CORP COM 286 8K _
INTERNATIONAL BUSINESS MACHS COM 417 3K _
INTUITIVE SURGICAL INC COM NEW 472 2K _
JACOBS ENGR GROUP INC COM 289 2K _
JOHNSON & JOHNSON COM 832 5K _
JPMORGAN CHASE & CO COM 985 9K _
KEYSIGHT TECHNOLOGIES INC COM 345 3K _
KINDER MORGAN INC DEL COM 358 21K _
LEIDOS HOLDINGS INC COM 276 3K _
LILLY ELI & CO COM 1K 4K _
LOCKHEED MARTIN CORP COM 804 2K _
MARSH & MCLENNAN COS INC COM 290 2K _
MCKESSON CORP COM 492 2K _
MEDTRONIC PLC SHS 494 5K _
MERCK & CO INC COM 1K 15K _
MICROSOFT CORP COM 4K 15K _
MONDELEZ INTL INC CL A 695 11K _
MOTOROLA SOLUTIONS INC COM NEW 398 2K _
NETFLIX INC COM 618 4K _
NORTHROP GRUMMAN CORP COM 591 1K _
NVIDIA CORPORATION COM 1K 7K _
NXP SEMICONDUCTORS N V COM 403 3K _
PROLOGIS INC. COM 366 3K _
QUEST DIAGNOSTICS INC COM 282 2K _
REGENERON PHARMACEUTICALS COM 563 953 _
RESMED INC COM 380 2K _
ROCKWELL AUTOMATION INC COM 332 2K _
SEA LTD SPONSORD ADS 299 4K _
SUN CMNTYS INC COM 276 2K _
SYNOPSYS INC COM 464 2K _
TAKE-TWO INTERACTIVE SOFTWAR COM 308 3K _
TELADOC HEALTH INC COM 234 7K _
TELEDYNE TECHNOLOGIES INC COM 255 681 _
TESLA INC COM 1K 2K _
TEXTRON INC COM 274 4K _
TWILIO INC CL A 260 3K _
VENTAS INC COM 317 6K _
WALMART INC COM 557 5K _
WELLTOWER INC COM 397 5K _
WESTROCK CO COM 228 6K _