PRIME QUADRANT
PRIME QUADRANT US, LLC Legal Name
Adviser information for PRIME QUADRANT 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 | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| 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 | 0 | $0 |
| Non-Discretionary | 30 | $354.9M |
| Total | 30 | $354.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 30 | $354.9M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshopsCREDIT AND CASH MANAGEMENT SOLUTIONS. |
|---|---|
| Compensation | Fixed fees |
| Other Business Activities | CREDIT AND CASH MANAGEMENT SOLUTIONS. |
Identifiers
| SEC RIA File Number | 801-126068 |
|---|---|
| SEC ERA File Number | 801-126068 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 322068 |
| Legal Entity Identifier | None |
Principal Office
800-2 ST. CLAIR AVENUE EASTTORONTO
Canada
Monday - Friday, 9 AM TO 5 PM
Tel: 212-365-7400, Fax: 212-635-3520
Chief Compliance Officer
MARK ROTH
CHIEF RISK OFFICER AND CHIEF COMPLIANCE OFFICER
2 ST. CLAIR AVE EAST, SUITE 800
TORONTO, ONTARIO
Canada
Tel:
647-749-4118
M****@****************M
(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 |
|---|---|---|---|---|---|
| FOCUS OPERATING, LLC | Domestic Entity | – | MEMBER (MANAGER) | 10/2022 | > 75% |
| FOCUS FINANCIAL PARTNERS, LLC | Domestic Entity | FOCUS OPERATING, LLC | MEMBER | 01/2007 | > 75% |
| FOCUS FINANCIAL PARTNERS INC. | Domestic Entity | FOCUS FINANCIAL PARTNERS, LLC | MEMBER | 07/2018 | > 75% |
| ROTH, MARK, HOWARD | Individual | – | CHIEF RISK OFFICER AND CHIEF COMPLIANCE OFFICER | 10/2022 | < 5% |
| DOMAN, ANDREW, MICHAEL | Individual | – | COO/CFO | 10/2022 | < 5% |
| Lidsky, Yevgeniy, Mo | Individual | – | CEO | 10/2022 | < 5% |
| GAUNA, JAQUES, CLARIOND | Individual | – | SENIOR ADVISER | 07/2023 | < 5% |
| FERDINAND FFP ACQUISITION, LLC | Domestic Entity | FOCUS FINANCIAL PARTNERS INC. | SHAREHOLDER, CLASS A COMMON STOCK | 08/2023 | > 75% |
| FERDINAND FFP ULTIMATE HOLDINGS, LP | Domestic Entity | FOCUS FINANCIAL PARTNERS INC. | SHAREHOLDER, CLASS B COMMON STOCK | 08/2023 | > 75% |
| FERDINAND FFP INTERMEDIATE HOLDINGS, LLC | Domestic Entity | FERDINAND FFP ACQUISITION, LLC | MEMBER | 08/2023 | > 75% |
| FERDINAND FFP PARENT, INC. | Domestic Entity | FERDINAND FFP INTERMEDIATE HOLDINGS, LLC | MEMBER | 08/2023 | > 75% |
| FERDINAND FFP ULTIMATE HOLDINGS, LP | Domestic Entity | FERDINAND FFP PARENT, INC. | SHAREHOLDER | 08/2023 | > 75% |
| CD&R FERDINAND HOLDINGS, L.P. | Domestic Entity | FERDINAND FFP ULTIMATE HOLDINGS, LP | PARTNER | 08/2023 | 50-75% |
| CD&R FERDINAND CO-INVESTOR, L.P. | Foreign Entity | CD&R FERDINAND HOLDINGS, L.P. | PARTNER | 08/2023 | 25-50% |
| CLAYTON DUBILIER & RICE FUND XII, L.P. | Foreign Entity | CD&R FERDINAND HOLDINGS, L.P. | PARTNER | 08/2023 | 50-75% |