LION EQUITY INVESTMENT ADVISORS, LLC
Adviser information for LION EQUITY INVESTMENT ADVISORS, LLC last updated from Form ADV on March 27th, 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 | 9 |
|---|---|
| Investment Advisory/Research | 9 |
| 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 | 4 | $217.8M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $217.8M |
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 | 4 | $217.8M |
| 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 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-128308 |
|---|---|
| SEC ERA File Number | 801-128308 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 283404 |
| Legal Entity Identifier | None |
Principal Office
260 N. JOSEPHINE ST.SUITE 220
DENVER
CO
United States
Monday - Friday, 9:00-5:00
Tel: 303-847-4100, Fax: 303-872-0156
Chief Compliance Officer
ARI J. SILVERMAN
CO-FOUNDER AND PARTNER
260 N. JOSEPHINE ST.
SUITE 220
DENVER
CO
United States
Tel:
303-847-4100
Fax:
303-872-0156
A*********@*************M
(Full email address available in API data)
Regulatory Contact
JOHN BLUE
MANAGING DIRECTOR | PINE ADVISOR SOLUTIONS
501 S. CHERRY STREET
SUITE 610
DENVER
CO
United States
Tel:
720-651-8006
J*@***********************M
(Full email address available in API data)
Industry Affiliates
| LION EQUITY MANAGEMENT II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| LION EQUITY MANAGEMENT III, LLC | Sponsor, GP, manager of pooled investment vehicles |
| LION EQUITY MANAGEMENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| LION EQUITY FUND III, LP | Private Equity Fund | $78.4M | $1.0M | 43 |
| LION EQUITY HOLDINGS II, LLC | Private Equity Fund | $113.7M | $0.5M | 58 |
| LION EQUITY HOLDINGS, LLC | Private Equity Fund | $0.4M | $0.3M | 56 |
| LION FUND III-B, LP | Private Equity Fund | $29.1M | $1.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LEVITAS, E, JAMES | Individual | – | CO-FOUNDER AND PARTNER | 04/2007 | < 5% |
| LION EQUITY PARTNERS, LLC | Domestic Entity | – | SOLE MEMBER AND MANAGER | 04/2007 | > 75% |
| SILVERMAN, ARI, J. | Individual | – | CHIEF COMPLIANCE OFFICER, CO-FOUNDER AND PARTNER | 04/2007 | < 5% |
| SILVERMAN, ARI, J. | Individual | LION EQUITY PARTNERS, LLC | MANAGER AND MEMBER | 04/2007 | 50-75% |
| LEVITAS, E, JAMES | Individual | LION EQUITY PARTNERS, LLC | MANAGER AND MEMBER | 04/2007 | 50-75% |