SPEARHEAD ADMINISTRATIVE SERVICES, LLC
Adviser information for SPEARHEAD ADMINISTRATIVE SERVICES, LLC last updated from Form ADV on March 29th, 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 | 6 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 293 | $1.2B |
| Non-Discretionary | 0 | $0 |
| Total | 293 | $1.2B |
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 | 10 | $550.1M |
| 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 | 5 | $647.8M |
| 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 | 20 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisorInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-123610 |
|---|---|
| SEC ERA File Number | 801-123610 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 319289 |
| Legal Entity Identifier | None |
Principal Office
3828 KENNETT PIKESUITE 202
GREENVILLE
DE
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 855-615-5318, Fax: None
Chief Compliance Officer
ALYSON KEST
322 WHITE ROAD
LITTLE SILVER
NJ
United States
Tel:
855-615-5318
A****@*****************M
(Full email address available in API data)
Regulatory Contact
KEN FOLEY
CEO
3828 KENNETT PIKE
SUITE 202
GREENVILLE
DE
United States
Tel:
855-615-5318
K*****@*****************M
(Full email address available in API data)
Industry Affiliates
| SPEARHEAD CAPITAL ADVISORS, LLC | Other investment adviser, including financial planners |
| SPEARHEAD IDF PARTNERS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SPEARHEAD INSURANCE SOLUTIONS IDF, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| SPEARHEAD INSURANCE SOLUTIONS IDF, LLC SERIES CAM | Hedge Fund | $138.6M | $100.0M | 1 |
| SPEARHEAD INSURANCE SOLUTIONS IDF, LLC SERIES ELM | Hedge Fund | $14.6M | $1.0M | 1 |
| SPEARHEAD INSURANCE SOLUTIONS IDF, LLC SERIES F3C | Hedge Fund | $1.4M | $0.3M | 1 |
| SPEARHEAD INSURANCE SOLUTIONS IDF, LLC SERIES H | Hedge Fund | $1.0M | $1.0M | 2 |
| SPEARHEAD INSURANCE SOLUTIONS IDF, LLC SERIES NEUBERGER BERMAN K-1 | Hedge Fund | $112.0M | $0.1M | 2 |
| SPEARHEAD INSURANCE SOLUTIONS IDF, LLC SERIES NEUBERGER BERMAN PRIVATE DEBT | Hedge Fund | $32.7M | $1.0M | 1 |
| SPEARHEAD INSURANCE SOLUTIONS IDF, LLC SERIES SCL | Hedge Fund | $11.4M | $0.5M | 4 |
| SPEARHEAD INSURANCE SOLUTIONS IDF, LLC SERIES SL | Hedge Fund | $120.9M | $1.0M | 3 |
| ZILKER MULTI-STRATEGIES INSURANCE DEDICATED FUND, LP SERIES I | Hedge Fund | $51.3M | $1.0M | 1 |
| ZILKER MULTI-STRATEGIES INSURANCE DEDICATED FUND, LP SERIES II | Hedge Fund | $66.4M | $1.0M | 4 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SPEARHEAD STRATEGIC PARTNERS, LLC | Domestic Entity | – | OWNER | 08/2021 | 50-75% |
| FOLEY, KENNETH, EUGENE | Individual | – | CEO | 02/2022 | < 5% |
| Walsh, Patrick, Edward | Individual | – | COO | 02/2022 | < 5% |
| KEST, ALYSON, RENEE | Individual | – | CCO | 02/2022 | < 5% |
| NEW VERNON FINANCIAL, LLC | Domestic Entity | SPEARHEAD STRATEGIC PARTNERS, LLC | OWNER | 01/2013 | 25-50% |
| ABSTRUM PARTNERS, LLC | Domestic Entity | SPEARHEAD STRATEGIC PARTNERS, LLC | OWNER | 01/2013 | 25-50% |
| WALTERS, TRACEY, ANNE | Individual | NEW VERNON FINANCIAL, LLC | MANAGING MEMBER | 01/2013 | 50-75% |
| BOSTWICK, JARRETT, TODD | Individual | ABSTRUM PARTNERS, LLC | MANAGING MEMBER | 01/2013 | > 75% |
| WALTERS, TODD, MATTHEW | Individual | NEW VERNON FINANCIAL, LLC | MANAGING MEMBER | 01/2013 | 50-75% |
| BOSTWICK, JARRETT, TODD | Individual | SPEARHEAD STRATEGIC PARTNERS, LLC | ELECTED MANAGER | 01/2013 | |
| WALTERS, TODD, MATTHEW | Individual | SPEARHEAD STRATEGIC PARTNERS, LLC | ELECTED MANAGER | 01/2013 | |
| FIELDSTONE II, LLC | Domestic Entity | – | OWNER | 06/2022 | 25-50% |
| SHAPIRO, COLLEEN | Individual | FIELDSTONE II, LLC | MANAGING MEMBER | 05/2011 | 50-75% |
| SHAPIRO, GARY, L | Individual | FIELDSTONE II, LLC | MANAGING MEMBER | 05/2011 | 50-75% |
| Foley, Kenneth, Eugene | Individual | WHITLOW, LLC | MANAGING MEMBER | 09/2023 | > 75% |
| WHITLOW, LLC | Domestic Entity | – | OWNER | 12/2023 | 10-25% |