NEWGROUND SOCIAL INVESTMENT
NEWGROUND SOCIAL INVESTMENT, SPC Legal Name
Adviser information for NEWGROUND SOCIAL INVESTMENT 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Washington, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 406 | $130.0M |
| Non-Discretionary | 0 | $0 |
| Total | 406 | $130.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 94 | $37.4M |
| HNW Individuals | 38 | $87.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $712,533 |
| Charitable organizations | <5 | $4.4M |
| 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 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-123559 |
|---|---|
| SEC ERA File Number | 801-123559 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 117060 |
| Legal Entity Identifier | None |
Principal Office
111 QUEEN ANNE AVE N, SUITE 500SEATTLE
WA
United States
Monday - Friday, BY APPOINTMENT 10:00AM-3:00PM
Tel: (206) 522-1944, Fax: None
Chief Compliance Officer
BRUCE HERBERT
CHIEF EXECUTIVE
111 QUEEN ANNE AVE N, SUITE 500
SEATTLE
WA
United States
Tel:
206-522-1944
N*@************T
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HERBERT, BRUCE, THOMSON | Individual | – | CHIEF EXECUTIVE, CCO | 02/1994 | > 75% |