424 CAPITAL, LLC
Adviser information for 424 CAPITAL, 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 | 21 |
|---|---|
| Investment Advisory/Research | 19 |
| 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 | 10 | $297.9M |
| Non-Discretionary | 0 | $0 |
| Total | 10 | $297.9M |
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 | $297.9M |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-126295 |
|---|---|
| SEC ERA File Number | 801-126295 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 167462 |
| Legal Entity Identifier | None |
Principal Office
301 EDGEWATER PLACE,SUITE 425
WAKEFIELD
MA
United States
Monday - Friday, 9:00AM-5:00PM
Tel: 781-295-4000, Fax: 781-295-4007
Chief Compliance Officer
JENNIFER MOSTO
CHIEF COMPLIANCE OFFICER & DIRECTOR OF FINANCE & OPERATIONS
301 EDGEWATER PLACE
SUITE 425
WAKEFIELD
MA
United States
Tel:
781-451-1378
Fax:
781-295-4007
J*****@*************M
(Full email address available in API data)
Regulatory Contact
KYLE STANBRO
MANAGING PARTNER
301 EDGEWATER PLACE
SUITE 425
WAKEFIELD
MA
United States
Tel:
781-295-4000
Fax:
791-295-4007
K*******@*************M
(Full email address available in API data)
Industry Affiliates
| 424 CAPITAL FUND I, LLC | Sponsor, GP, manager of pooled investment vehicles |
| 424 CAPITAL FUND II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BROOK VENTURE PARTNERS II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BROOK VENTURE PARTNERS IIA, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BROOK VENTURE PARTNERS III, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BROOK VENTURE, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| 424 CAPITAL CO-INVESTMENT FUND I, LP | Private Equity Fund | $64.7M | $0.0M | 62 |
| 424 CAPITAL FUND I, LP | Private Equity Fund | $58.1M | $0.8M | 57 |
| 424 CAPITAL FUND II, LP | Private Equity Fund | $27.6M | $1.0M | 63 |
| BROOK CO-INVESTMENT II, LP | Venture Capital Fund | $0.0M | $0.0M | 0 |
| BROOK CO-INVESTMENT III, LP | Private Equity Fund | $9.0M | $0.0M | 71 |
| BROOK PARTNERS II, LLC | Private Equity Fund | $2.0M | $0.0M | 2 |
| BROOK VENTURE FUND II, LP | Venture Capital Fund | $2.7M | $0.0M | 59 |
| BROOK VENTURE FUND IIA, LP | SBIC | $38.9M | $0.0M | 2 |
| BROOK VENTURE PARTNERS IV, LP | Private Equity Fund | $89.0M | $0.0M | 68 |
| FEDERAL STREET, LLC | Private Equity Fund | $6.0M | $0.0M | 36 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MORRIS, FREDERIC, HALSEY | Individual | – | PRINCIPAL | 07/1998 | 5-10% |
| BEINECKE, WALTER | Individual | – | PRINCIPAL | 12/2004 | 25-50% |
| Mosto, Jennifer, Marie | Individual | – | CHIEF COMPLIANCE OFFICER AND DIRECTOR OF FINANCE & OPERATIONS | 01/2015 | < 5% |
| Mulcahey, Brennan | Individual | – | PRINCIPAL | 12/2015 | 25-50% |
| STANBRO, KYLE, DANIEL | Individual | – | PRINCIPAL | 02/2017 | 25-50% |