AS INVESTMENT MANAGEMENT
AS INVESTMENT MANAGEMENT, LLC Legal Name
Adviser information for AS INVESTMENT MANAGEMENT last updated from Form ADV on March 26th, 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 | 10 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 4 |
| 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 | 3 | $2.8B |
| Total | 3 | $2.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $451.0M |
| 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 | <5 | $2.4B |
| 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 | 3 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-127800 |
|---|---|
| SEC ERA File Number | 801-127800 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 317152 |
| Legal Entity Identifier | None |
Principal Office
335 MADISON AVENUE25TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00-5:00
Tel: 917-277-3516, Fax: None
Chief Compliance Officer
BRYAN JACOBSEN
4128 INNSLAKE DRIVE
GLEN ALLEN
VA
United States
Tel:
6618864445
B*************@************M
(Full email address available in API data)
Industry Affiliates
| ACERVUS SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ADDEPAR | Domestic Entity | – | OWNER | 09/2021 | > 75% |
| LONSDALE, JOSEPH, TODD | Individual | ADDEPAR | OWNER | 09/2021 | 25-50% |
| CARREON, ROWENA, TAN | Individual | – | PRESIDENT | 06/2023 | < 5% |
| JACOBSEN, BRYAN, K | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2024 | < 5% |