SECFI ADVISORY LIMITED
Adviser information for SECFI ADVISORY LIMITED last updated from Form ADV on March 26th, 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 | Cayman Islands |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 6 |
| 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 | 138 | $122.1M |
| Non-Discretionary | 1 | $34.3M |
| Total | 139 | $156.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 136 | $22.1M |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $134.3M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 29 |
| No. of Non-U.S. Clients | 3 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-126017 |
|---|---|
| SEC ERA File Number | 801-126017 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 306961 |
| Legal Entity Identifier | None |
Principal Office
43 W 23RD STREETFL 2
NEW YORK
NY
United States
Monday - Friday, 9AM - 5PM
Tel: (707) 652-9961, Fax: None
Chief Compliance Officer
MICHELLE MARWAHA
43 WEST 23RD STREET
FL 2
NEW YORK
NY
United States
Tel:
(707) 652-9961
M***************@********M
(Full email address available in API data)
Industry Affiliates
| COVENTURE-SECFI MANAGEMENT LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| SECFI LIMITED | Other investment adviser, including financial planners |
| SECFI SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| BERGAMOT TRUST | (1) THE INCENTIVE FEES ARE ONLY PAID ON REALIZED GAINS, (2) THEY DO NOT BORROW, AND (3) DO NOT SELL SHORT | $34.3M | $0.0M | 2 |
| RIOJA FUND I LLC | (1) THE INCENTIVE FEES ARE ONLY PAID ON REALIZED GAINS, (2) THEY DO NOT BORROW, AND (3) DO NOT SELL SHORT | $8.0M | $0.0M | 2 |
| SONOMA FUND 2022, LLC | (1) THE INCENTIVE FEES ARE ONLY PAID ON REALIZED GAINS, (2) THEY DO NOT BORROW, AND (3) DO NOT SELL SHORT | $1.0M | $0.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SECFI, INC. | Domestic Entity | – | SOLE SHAREHOLDER | 02/2018 | > 75% |
| MIJNHARDT, FREDERIK, ANTON | Individual | – | DIRECTOR | 02/2018 | < 5% |
| Marwaha, Michelle | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2024 | < 5% |
| MORENO DE LOS RIOS, JAIME, VICENTE | Individual | – | CHIEF OPERATING OFFICER | 06/2021 | < 5% |