CROAK ASSET MANAGEMENT
CROAK ASSET MANAGEMENT, LLC Legal Name
Adviser information for CROAK ASSET MANAGEMENT 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Ohio, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,834 | $212.6M |
| Non-Discretionary | 47 | $526,508 |
| Total | 1,881 | $213.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 735 | $103.6M |
| HNW Individuals | 64 | $103.5M |
| 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 | <5 | $5.6M |
| 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 | <5 | $487,707 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesASSETS UNDER ADVISEMENT |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 185.0M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| CROAK ASSET MANAGEMENT WRAP FEE PROGRAM | CROAK ASSET MANAGEMENT |
Identifiers
| SEC RIA File Number | 801-126464 |
|---|---|
| SEC ERA File Number | 801-126464 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 297666 |
| Legal Entity Identifier | None |
Principal Office
432 N SUPERIOR ST.TOLEDO
OH
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 419-464-7000, Fax: 419-405-7800
Chief Compliance Officer
DAVID A. THEISS
432 N SUPERIOR ST.
TOLEDO
OH
United States
Tel:
419-464-7000
Fax:
419-405-7800
D******@***************M
(Full email address available in API data)
Regulatory Contact
ERIC T. CROAK
MANAGING MEMBER
432 N SUPERIOR ST.
TOLEDO
OH
United States
Tel:
419-464-7000
Fax:
419-405-7800
E*****@***************M
(Full email address available in API data)
Industry Affiliates
| CAM INSURANCE, LLC | Insurance company or agency |
| CAM TAX, LLC | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CROAK, TIMOTHY, ROBERT | Individual | – | MANAGING MEMBER | 05/2018 | < 5% |
| CROAK, ERIC, TIMOTHY | Individual | – | MANAGING MEMBER | 05/2018 | < 5% |
| CROAK CAPITAL, LLC | Domestic Entity | – | OWNER | 09/2023 | > 75% |
| CROAK, TIMOTHY, ROBERT | Individual | CROAK CAPITAL, LLC | OWNER | 09/2023 | 50-75% |
| CROAK, ERIC, TIMOTHY | Individual | CROAK CAPITAL, LLC | OWNER | 09/2023 | 50-75% |
| THEISS, DAVID, A | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2023 | < 5% |