FIRMAMENT CAP ADVISORS, LLC
Adviser information for FIRMAMENT CAP ADVISORS, LLC last updated from Form ADV on March 25th, 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 | 30 |
|---|---|
| Investment Advisory/Research | 20 |
| 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 | 2 | $526.2M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $526.2M |
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 | 2 | $526.2M |
| 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 pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based feesSTRUCTURING FEE |
Identifiers
| SEC RIA File Number | 801-127069 |
|---|---|
| SEC ERA File Number | 801-127069 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 324201 |
| Legal Entity Identifier | None |
Principal Office
50 ROCKEFELLER PLAZASUITE 201
NEW YORK
NY
United States
Monday - Friday, 9 - 5
Tel: 212-956-1061, Fax: None
Chief Compliance Officer
MARIE ISABELLE PALACIOS HARDY
GENERAL COUNSEL
50 ROCKEFELLER PLAZA
SUITE 201
NEW YORK
NY
United States
Tel:
212-314-0177
M*************@************M
(Full email address available in API data)
Regulatory Contact
ROWENA SARDELLI
CHIEF FINANCIAL OFFICER
50 ROCKEFELLER PLAZA
SUITE 201
NEW YORK
NY
United States
Tel:
212-956-1061
R********@************M
(Full email address available in API data)
Industry Affiliates
| ADVANTAGE CAPITAL MANAGEMENT | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| FIRMAMENT ADVISORS PARALLEL IV, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| FIRMAMENT ADVISORS SBIC III, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| FIRMAMENT ADVISORS SBIC IV, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| FIRMAMENT ASSOCIATES PARALLEL IV, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FIRMAMENT ASSOCIATES SBIC IV, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FIRMAMENT CAPITAL PARTNERS SBIC III, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FIRMAMENT OPPORTUNITIES ADVISORS, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| FIRMAMENT OPPORTUNITIES ASSOCIATES, LLC | Sponsor, GP, manager of pooled investment vehicles |
| MCLARTY CAPITAL ADVISORS SBIC II, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| MCLARTY CAPITAL ADVISORS SBIC, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| MCLARTY CAPITAL PARTNERS SBIC II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| MCLARTY CAPITAL PARTNERS SBIC, LLC | Sponsor, GP, manager of pooled investment vehicles |
| MCLARTY CAPITAL PARTNERS UK LLP | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| FIRMAMENT CAP CREDIT LLC | Private Equity Fund | $313.9M | $0.0M | 9 |
| FIRMAMENT OPPORTUNITIES, LLC | Private Equity Fund | $212.3M | $0.0M | 4 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SMITH, CHRISTOPHER, DENNIS | Individual | – | FOUNDING PARTNER | 11/2022 | < 5% |
| Palacios Hardy, Marie Isabelle | Individual | – | CHIEF COMPLIANCE OFFICER / GENERAL COUNSEL | 01/2023 | < 5% |
| FIRMAMENT CAP GP, LLC | Domestic Entity | FIRMAMENT CAP MANAGERS, LP | GENERAL PARTNER | 02/2023 | |
| FIRMAMENT CAP MANAGERS, LP | Domestic Entity | – | MANGER / MEMBER | 03/2023 | 50-75% |
| PACA FRMT II LLC | Domestic Entity | – | MEMBER | 03/2023 | 50-75% |
| Boyd, Parris | Individual | – | PARTNER | 11/2022 | < 5% |
| SMITH, CHRISTOPHER, DENNIS | Individual | FIRMAMENT CAP GP, LLC | MEMBER | 02/2023 | > 75% |
| PACA FRMT, LLC | Domestic Entity | PACA FRMT II LLC | MEMBER | 03/2023 | > 75% |
| ADVANTAGE CAPITAL HOLDINGS LLC | Domestic Entity | PACA FRMT, LLC | MEMBER | 10/2021 | > 75% |
| ADVANTAGE CAPITAL PARTNERS LLC | Domestic Entity | ADVANTAGE CAPITAL HOLDINGS LLC | MEMBER | 07/2012 | > 75% |
| KING, KENNETH, NMN | Individual | ADVANTAGE CAPITAL PARTNERS LLC | MEMBER | 07/2012 | > 75% |
| SARDELLI, ROWENA, NMN | Individual | – | CHIEF FINANCIAL OFFICER | 09/2023 | < 5% |