FLAX POND CAPITAL, LLC
Adviser information for FLAX POND CAPITAL, LLC last updated from Form ADV on February 8th, 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 | Pennsylvania, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 103 | $156.9M |
| Non-Discretionary | 0 | $0 |
| Total | 103 | $156.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 45 | $26.4M |
| HNW Individuals | 58 | $130.5M |
| 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 | 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 | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-127211 |
|---|---|
| SEC ERA File Number | 801-127211 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 324332 |
| Legal Entity Identifier | None |
Principal Office
205 WORCESTER COURTSUITE C3
FALMOUTH
MA
United States
Monday - Friday, 9:00 AM - 3:00 PM
Tel: 508-548-2219, Fax: None
Websites
Chief Compliance Officer
NANCY T. THRASHER
205 WORCESTER COURT
SUITE C3
FALMOUTH
MA
United States
Tel:
508-548-2219
N****@******************M
(Full email address available in API data)
Regulatory Contact
CHRISTOPHER ZAFIRIOU
748 SOUTH LATCHES LANE
MERION STATION
PA
United States
Tel:
484-531-3586
C****@******************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 |
|---|---|---|---|---|---|
| ZAFIRIOU, CHRISTOPHER, MARSHALL | Individual | – | PRESIDENT | 10/2022 | > 75% |
| THRASHER, NANCY, TERESA | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2022 | < 5% |