UPWELLING CAPITAL GROUP LLC
Adviser information for UPWELLING CAPITAL GROUP LLC 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 | California, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 3 |
| 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 | 3 | $15.2M |
| Non-Discretionary | 1 | $100.0M |
| Total | 4 | $115.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 4 | $15.2M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $100.0M |
| Other | <5 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 10 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshopsADVICE ON MATTERS NOT INVOLVING SECURITIES |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesPerformance-based feesLIQUIDATION MANAGEMENT FEE |
| Other Business Activities | Registered representative of a broker-dealer |
Identifiers
| SEC RIA File Number | 801-127905 |
|---|---|
| SEC ERA File Number | 801-127905 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 164653 |
| Legal Entity Identifier | None |
Principal Office
2820 5TH ST.DAVIS
CA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 530-758-7888, Fax: None
Websites
Chief Compliance Officer
JONCARLO MARK
2820 5TH ST.
DAVIS
CA
United States
Tel:
5307587888
J****@*******************M
(Full email address available in API data)
Regulatory Contact
NICOLE KANE
CFO
902 ACRI ROAD
MECHANICSBURG
PA
United States
Tel:
717-386-1221
N****@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| MEDLEY OPPORTUNITY FUND II LP | PRIVATE CREDIT FUND | $7.3M | $2.0M | 23 |
| UPWELLING EQUITY INVESTORS I LP | Private Equity Fund | $6.6M | $0.0M | 22 |
| UPWELLING EQUITY INVESTORS I-B LP | Private Equity Fund | $1.3M | $0.1M | 25000 |
| UPWELLING EQUITY INVESTORS II LP | Private Equity Fund | $0.0M | $0.1M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MARK, JONCARLO, RUBEN | Individual | – | CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER | 04/2011 | < 5% |
| THE MARK FAMILY TRUST | Domestic Entity | – | TRUST | 04/2011 | > 75% |
| MARK, JONCARLO, RUBEN | Individual | MARK FAMILY TRUST | CO-TRUSTEE | 04/2011 | > 75% |
| Rubin-Mark, Jami, Denise | Individual | MARK FAMILY TRUST | CO-TRUSTEE | 04/2011 | > 75% |