BARRETT UPTON CAPITAL PARTNERS
BARRETT UPTON CAPITAL PARTNERS LLC Legal Name
Adviser information for BARRETT UPTON CAPITAL PARTNERS 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $49.8M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $49.8M |
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 | 1 | $49.8M |
| 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 fees |
Identifiers
| SEC RIA File Number | 801-127797 |
|---|---|
| SEC ERA File Number | 801-127797 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 326104 |
| Legal Entity Identifier | None |
Principal Office
100 N FIELD DRIVE, SUITE 215LAKE FOREST
IL
United States
Monday - Friday, 8:30 - 5:00
Tel: 8477520292, Fax: 8477601012
Websites
Chief Compliance Officer
ELIZABETH WATKINS
100 N FIELD DRIVE
SUITE 215
LAKE FOREST
IL
United States
Tel:
847-752-9479
L*******@************************M
(Full email address available in API data)
Industry Affiliates
| CRESCENT GROVE ADVISORS | Other investment adviser, including financial planners |
| CRESCENT GROVE INSURANCE | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| BARRETT UPTON PRIVATE EQUITY ACCESS FUND | Private Equity Fund | $49.8M | $0.1M | 61 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CRESCENT GROVE HOLDINGS, LLC | Domestic Entity | – | SHAREHOLDER | 03/2023 | 50-75% |
| KREI, ANDREW, SCOTT | Individual | – | CO-CHIEF INVESTMENT OFFICER | 03/2023 | 10-25% |
| KEEVINS, DAVID, SCOTT | Individual | CRESCENT GROVE HOLDINGS, LLC | CHIEF INVESTMENT OFFICER | 03/2023 | |
| GEORGE, GREGG, WILLIAM | Individual | CRESCENT GROVE HOLDINGS, LLC | CHIEF LEGAL OFFICER | 03/2023 | |
| KEEVINS, DAVID, SCOTT | Individual | – | CO-CHIEF INVESTMENT OFFICER | 03/2023 | < 5% |
| KOCHANSKI, NICHOLAS, HENRY | Individual | – | CHIEF FINANCIAL OFFICER | 03/2023 | < 5% |
| WATKINS, ELIZABETH, ANNE | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2023 | < 5% |
| KOCHANSKI, NICHOLAS, HENRY | Individual | CRESCENT GROVE HOLDINGS, LLC | CHIEF FINANCIAL OFFICER | 03/2023 | |
| SCHMITZ, ERIC, R | Individual | – | DIRECTOR | 03/2023 | 5-10% |