SOVEREIGN'S CAPITAL MANAGEMENT, LLC
Adviser information for SOVEREIGN'S CAPITAL MANAGEMENT, LLC 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 | 35 |
|---|---|
| Investment Advisory/Research | 30 |
| 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 | 25 | $867.2M |
| Non-Discretionary | 0 | $0 |
| Total | 25 | $867.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $29.5M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 23 | $834.4M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $3.3M |
| 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 | 1 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-126307 |
|---|---|
| SEC ERA File Number | 801-126307 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 301879 |
| Legal Entity Identifier | None |
Principal Office
3350 RIVERWOOD PARKWAY#670
ATLANTA
GA
United States
Monday - Friday, 9AM TO 5PM ET
Tel: 404-260-2798, Fax: None
Chief Compliance Officer
ALASTAIR COTTERELL
CISO AND OPERATIONS MANAGER
3350 RIVERWOOD PARKWAY
#670
ATLANTA
GA
United States
Tel:
404-260-2798
A****@********************M
(Full email address available in API data)
Regulatory Contact
MICHELLE HOFFMAN
CHIEF FINANCIAL OFFICER
3350 RIVERWOOD PARKWAY
#670
ATLANTA
GA
United States
Tel:
404-260-2798
A****@********************M
(Full email address available in API data)
Industry Affiliates
| BLUE TRUST | Trust company |
| CALLIS CAPITAL FUND I GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| CG INVESTMENT PARTNERS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| MOVEMENT ASSET MANAGEMENT, LLC | Other investment adviser, including financial planners |
| MOVEMENT BANK | Banking or thrift institution |
| MOVEMENT INSURANCE | Insurance company or agency |
| SC OMEGA (AI) GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SCAFGP I, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SCRE II GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SNCF EVERGREEN GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SOVEREIGN'S GP II (CAYMAN), LTD | Sponsor, GP, manager of pooled investment vehicles |
| SOVEREIGN'S GP II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SOVEREIGN'S GP III, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SOVEREIGN'S GP LMM II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SOVEREIGN'S GP VENTURE IV, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SOVEREIGN'S GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SOVEREIGN'S HOLDING, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SOVEREIGN'S KINGDOM SPV GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| VIDENT ASSET MANAGEMENT, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CALLIS CAPITAL FUND I, LP | Real Estate Fund | $30.5M | $0.0M | 13 |
| CG INVESTMENT PARTNERS, LP | Private Equity Fund | $2.9M | $0.0M | 18 |
| SC RESTOREPRO SIDECAR, LP | Private Equity Fund | $0.0M | $0.0M | 23 |
| SOVEREIGN'S AMTS, LP | Private Equity Fund | $59.8M | $0.0M | 27 |
| SOVEREIGN'S BRIGHTLIGHT SIDECAR, LP | Private Equity Fund | $2.4M | $0.0M | 6 |
| SOVEREIGN'S CAPITAL ACCESS FUND I, LP | Private Equity Fund | $107.4M | $1.0M | 96 |
| SOVEREIGN'S CAPITAL EVERGREEN FUND I, LLC | Private Equity Fund | $54.9M | $0.0M | 22 |
| SOVEREIGN'S CAPITAL II (CAYMAN), LP | VENTURE CAPITAL PARALLEL FUND (FOR TAX PURPOSES) | $10.6M | $0.3M | 3 |
| SOVEREIGN'S CAPITAL II, LP | Venture Capital Fund | $54.8M | $0.3M | 40 |
| SOVEREIGN'S CAPITAL III, LP | Venture Capital Fund | $87.6M | $0.5M | 85 |
| SOVEREIGN'S CAPITAL LOWER MIDDLE MARKET FUND II, LP | Private Equity Fund | $162.9M | $1.0M | 167 |
| SOVEREIGN'S CAPITAL OMEGA FUND (AI), LP | Hedge Fund | $64.4M | $0.5M | 55 |
| SOVEREIGN'S CAPITAL REAL ESTATE FUND II, LP | Real Estate Fund | $25.4M | $0.5M | 20 |
| SOVEREIGN'S CAPITAL VENTURE IV, LP | Venture Capital Fund | $32.7M | $0.0M | 59 |
| SOVEREIGN'S CAPITAL, LP | Venture Capital Fund | $22.7M | $0.1M | 77 |
| SOVEREIGN'S CLOUDFACTORY C, LP | Venture Capital Fund | $3.7M | $0.0M | 36 |
| SOVEREIGN'S E&S, LP | Private Equity Fund | $11.6M | $0.0M | 15 |
| SOVEREIGN'S ENVIRONMENTAL, LP | Private Equity Fund | $3.8M | $0.0M | 6 |
| SOVEREIGN'S FRINGE, LP | Venture Capital Fund | $1.3M | $0.0M | 12 |
| SOVEREIGN'S KINGDOM A LP | Private Equity Fund | $24.3M | $0.0M | 54 |
| SOVEREIGN'S THRIVE I, LP | Venture Capital Fund | $0.7M | $0.0M | 19 |
| SOVEREIGN'S VERMEER, LLC | Private Equity Fund | $39.8M | $0.0M | 3 |
| THE ONE TWO FIVE FUND, LP | Private Equity Fund | $30.2M | $0.0M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KAESTNER, HENRY, RICE | Individual | – | PARTNER | 07/2012 | < 5% |
| Roush, Lukas, Miller | Individual | – | MANAGING PARTNER | 07/2012 | < 5% |
| Jacob, Thomsen, Paul | Individual | – | MANAGING PARTNER | 07/2019 | < 5% |
| Sutantyo, Kevin | Individual | – | PARTNER | 06/2017 | < 5% |
| Tremain, Michael, Ernst | Individual | – | MANAGING PARTNER | 09/2019 | < 5% |
| COLEMAN, JOHN, WILLIAM | Individual | – | MANAGING PARTNER | 02/2021 | < 5% |
| Hoffman, Michelle, Elizabeth | Individual | – | CHIEF FINANCIAL OFFICER | 05/2022 | < 5% |
| SOVEREIGN'S CAPITAL HOLDINGS, LLC | Domestic Entity | – | MEMBER | 07/2022 | > 75% |
| MM SCM AM, LLC | Domestic Entity | SOVEREIGN'S CAPITAL HOLDINGS, LLC | MANAGING MEMBER, OWNER | 07/2022 | 50-75% |
| Crawford, Casey, Stuart | Individual | MM SCM AM, LLC | MANAGING MEMBER, OWNER | 07/2022 | > 75% |
| Cotterell, Alastair, Stephen Bradley | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2023 | < 5% |