KAIJU ETF ADVISORS
Adviser information for KAIJU ETF ADVISORS 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Cayman Islands |
Employees
| Total Number of Employees | 13 |
|---|---|
| Investment Advisory/Research | 7 |
| 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 | 1 | $3.9M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $3.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $3.9M |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-126562 |
|---|---|
| SEC ERA File Number | 801-126562 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 321242 |
| Legal Entity Identifier | None |
Principal Office
157 BROAD STREETSUITE 320
RED BANK
NJ
United States
Monday - Friday, 10 AM TO 6 PM
Tel: 732-759-1153, Fax: None
Chief Compliance Officer
EILEEN REBELE
CHIEF OPERATING OFFICER & DIRECTOR
38 FORREST AVE
RUMSON
NJ
United States
Tel:
732-759-1153
E************@*******************M
(Full email address available in API data)
Regulatory Contact
RYAN PANNELL
CEO
BOULEVARD DES TRANCHEES 14
GENEVE
Switzerland
Tel:
+41 79 603 78 53
R***********@*******************M
(Full email address available in API data)
Industry Affiliates
| KAIJU CAPITAL MANAGEMENT, LTD. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KAIJU WORLDWIDE | Foreign Entity | – | SHAREHOLDER/OWNER | 02/2022 | > 75% |
| SCHOOLEY, DAVID, LOREN | Individual | – | DIRECTOR | 02/2022 | < 5% |
| PANNELL, RYAN, PATRICK | Individual | – | DIRECTOR | 02/2022 | < 5% |
| PANNELL, RYAN, PATRICK | Individual | AUM TRUST | TRUSTEE AND BENEFICIARY | 11/2019 | |
| AUM TRUST | Foreign Entity | KAIJU WORLDWIDE | SHAREHOLDER | 12/2021 | > 75% |
| JTC (CAYMAN) LIMITED | Foreign Entity | AUM TRUST | CORPORATE TRUSTEE | 10/2022 | |
| PANNELL, URSULA, MARLENE | Individual | AUM TRUST | TRUSTEE AND GRANTOR | 11/2019 | |
| RAFTERY, BRIAN, EDWARD | Individual | AUM TRUST | TRUSTEE | 11/2019 | |
| REBELE, EILEEN, PATRICIA | Individual | – | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER & DIRECTOR | 03/2023 | < 5% |
| JTC GROUP LIMITED | Foreign Entity | JTC (CAYMAN) LIMITED | SHAREHOLDER | 09/2013 | > 75% |
| JTC GROUP (MALBEC) LIMITED | Foreign Entity | JTC GROUP LIMITED | SHAREHOLDER | 04/2001 | > 75% |
| JTC GROUP HOLDINGS (FINANCING) LIMITED | Foreign Entity | JTC GROUP (MALBEC) LIMITED | SHAREHOLDER | 03/2012 | > 75% |
| JTC GROUP HOLDINGS LIMITED | Foreign Entity | JTC GROUP HOLDINGS (FINANCING) LIMITED | SHAREHOLDER | 03/2012 | > 75% |
| JTC PLC | Foreign Entity | JTC GROUP HOLDINGS LIMITED | SHAREHOLDER | 03/2012 | > 75% |