1128 CAPITAL, LLC
Adviser information for 1128 CAPITAL, LLC last updated from Form ADV on March 8th, 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 | 7 |
|---|---|
| Investment Advisory/Research | 2 |
| 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 | 29 | $151.8M |
| Non-Discretionary | 0 | $0 |
| Total | 29 | $151.8M |
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 | 0 | $0 |
| 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 | $151.8M |
| 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 | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-124700 |
|---|---|
| SEC ERA File Number | 801-124700 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 318637 |
| Legal Entity Identifier | None |
Principal Office
5600 TENNYSON PARKWAYSUITE 215
PLANO
TX
United States
Monday - Friday, 8AM - 5PM
Tel: 917-797-3452, Fax: None
Websites
Chief Compliance Officer
VINCENT SPREUWENBERG
MEMBER AND CCO
5600 TENNYSON PARKWAY
SUITE 215
PLANO
TX
United States
Tel:
917-797-3452
V******@**************M
(Full email address available in API data)
Regulatory Contact
GERY SADZEWICZ
CONSULTANT
5205 BROOKSHIRE ESTATES DRIVE
PLAINFIELD
IL
United States
Tel:
8157821250
G***@*************************M
(Full email address available in API data)
Industry Affiliates
| ADVANTAGE CAPITAL MANAGEMENT | Other investment adviser, including financial planners |
| ATLANTIC COAST LIFE INSURANCE COMPANY | Insurance company or agency |
| HAYMARKET INSURANCE COMPANY | Insurance company or agency |
| JAZZ REINSURANCE COMPANY | Insurance company or agency |
| SENTINEL SECURITY LIFE INSURANCE COMPANY | Insurance company or agency |
| SOUTHERN ATLANTIC RE INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| 1128 CAPITAL HOLDINGS LLC | Domestic Entity | – | MANAGING MEMBER | 12/2021 | > 75% |
| SPREUWENBERG, VINCENT, MICHAEL | Individual | – | CHIEF COMPLIANCE OFFICER AND CIO | 12/2021 | < 5% |
| VSK 1128 LLC | Domestic Entity | 1128 CAPITAL HOLDINGS LLC | MEMBER | 12/2021 | 50-75% |
| PACA 1128 LLC | Domestic Entity | 1128 CAPITAL HOLDINGS LLC | MEMBER | 12/2021 | 50-75% |
| koh, sharon | Individual | VSK 1128 LLC | MEMBER | 12/2021 | 50-75% |
| SPREUWENBERG, VINCENT, MICHAEL | Individual | VSK 1128 LLC | MEMBER | 12/2021 | 50-75% |
| ADVANTAGE CAPITAL HOLDINGS LLC | Domestic Entity | PACA 1128 LLC | MEMBER | 12/2021 | > 75% |
| KING, KENNETH, NMN | Individual | ADVANTAGE CAPITAL HOLDINGS LLC | MEMBER | 07/2012 | > 75% |
| koh, sharon | Individual | – | CHIEF EXECUTIVE OFFICER | 04/2022 | < 5% |