ALLIES CAPITAL MANAGEMENT
ALLIES CAPITAL MANAGEMENT, LLC Legal Name
Adviser information for ALLIES CAPITAL MANAGEMENT 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 | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| 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 | 1 | $25.0M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $25.0M |
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 | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 1 | $25.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-125888 |
|---|---|
| SEC ERA File Number | 801-125888 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 319640 |
| Legal Entity Identifier | None |
Principal Office
640 FIFTH AVENUE 12TH FLOORNEW YORK
NY
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 914-383-8788, Fax: None
Chief Compliance Officer
CARA CAWOOD
FOSTER PLAZA 6
681 ANDERSEN DRIVE, SUITE 400
PITTSBURGH
PA
United States
Tel:
724-935-0171
C**********@************M
(Full email address available in API data)
Regulatory Contact
JAY TARAGIN
640 FIFTH AVENUE 12TH FLOOR
NEW YORK
NY
United States
Tel:
212-632-3764
J**********@*******************M
(Full email address available in API data)
Industry Affiliates
| M. KLEIN ASSOCIATES, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| M. KLEIN ASSOCIATES, LLC | Domestic Entity | – | OWNER | 01/2022 | > 75% |
| KLEIN, MICHAEL | Individual | M. KLEIN ASSOCIATES, LLC | OWNER | 01/2022 | > 75% |
| KLEIN, MICHAEL | Individual | – | CHIEF EXECUTIVE OFFICER | 01/2022 | < 5% |
| CAWOOD, CARA, MARIE | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2023 | < 5% |