THEMES MANAGEMENT COMPANY LLC
Adviser information for THEMES MANAGEMENT COMPANY LLC 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 | 7 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 11 | $9.9M |
| Non-Discretionary | 0 | $0 |
| Total | 11 | $9.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $9.9M |
| 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 | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-128358 |
|---|---|
| SEC ERA File Number | 801-128358 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 323861 |
| Legal Entity Identifier | None |
Principal Office
34 EAST PUTNAM AVENUE, SUITE 112GREENWICH
CT
United States
Monday - Friday, 9AM TO 4PM
Tel: 6462061788, Fax: None
Chief Compliance Officer
ALBERT MOORE
3 CANAL PLAZA
3RD FLOOR
PORTLAND
ME
United States
Tel:
617.224.0723
A***********@************M
(Full email address available in API data)
Regulatory Contact
ROBERT MOREIRO
ATTORNEY
799 SANDPIPER LANE
PONTE VEDRA BEACH
FL
United States
Tel:
9737477989
R*************@**********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 |
|---|---|---|---|---|---|
| MOORE, ALBERT, ASHOK | Individual | – | CCO | 09/2023 | < 5% |
| GONZALEZ NAVARRO, JOSE, CARLOS | Individual | – | CEO | 06/2023 | < 5% |
| Grant, Tracy | Individual | – | GENERAL COUNSEL | 09/2022 | 5-10% |
| KAMBUROV, DOBROMIR | Individual | – | COO | 09/2022 | 5-10% |
| Poncela, Jose | Individual | – | SHAREHOLDER | 09/2022 | < 5% |
| ETP HOLDING COMPANY LLC | Domestic Entity | – | OWNER | 09/2022 | > 75% |
| GONZALEZ NAVARRO, JOSE, CARLOS | Individual | ETP HOLDING COMPANY LLC | CCO | 09/2022 | > 75% |