MODERNFI
MODERNFI ADVISERS LLC Legal Name
Adviser information for MODERNFI last updated from Form ADV on February 6th, 2023. 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 | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| 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 | 0 | $0 |
| Total | 0 | $0 |
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 | 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 |
Services
| Advisory Services | Portfolio management for businesses or institutional clientsPublication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMPERCENTAGE OF INTEREST EARNED ON CLIENT DEPOSITS |
Identifiers
| SEC RIA File Number | 801-126734 |
|---|---|
| SEC ERA File Number | 801-126734 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 322611 |
| Legal Entity Identifier | None |
Principal Office
135 W 50TH ST, 2ND FLOORSUITE 200
NEW YORK
NY
United States
Monday - Friday, 9:00 AM - 5:00 PM EST
Tel: 332-232-6730, Fax: None
Chief Compliance Officer
CHARLES BENNETT JOHNSEN
135 W 50TH STREET, 2ND FLOOR
SUITE 200
NEW YORK
NY
United States
Tel:
332-262-6080
B******@***********M
(Full email address available in API data)
Regulatory Contact
ADAM DEVITA
CHIEF FINANCIAL OFFICER
135 W 50TH STREET, 2ND FLOOR
SUITE 200
NEW YORK
NY
United States
Tel:
332-232-6070
A***@***********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 |
|---|---|---|---|---|---|
| DEVITA, ADAM, THOMAS | Individual | – | CHIEF FINANCIAL OFFICER/CHIEF OPERATING OFFICER | 07/2022 | < 5% |
| MODERNFI, INC. | Domestic Entity | – | SOLE MEMBER | 06/2022 | > 75% |
| BERTOLOTTI, PAOLO, MIKAEL | Individual | – | CEO | 07/2022 | < 5% |
| BERTOLOTTI, PAOLO, MIKAEL | Individual | MODERNFI, INC. | MANAGING MEMBER | 01/2022 | 25-50% |
| JOHNSEN, CHARLES, BENNETT | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2022 | < 5% |
| Palmer, Andrew, Joshua | Individual | – | CHIEF TECHNOLOGY OFFICER | 10/2022 | < 5% |